wipo program and budget · budget proposals. in order to balance the 2012/13 budget proposal, no...

WIPOPROGRAMAND BUDGETfor the 2012/13 biennium

________________________ * For complete text of the Assemblies’ decision see document A/49/18.

PROGRAM AND BUDGET FOR THE 2012/13 BIENNIUM

Approved by the Assemblies of the Member States of WIPO on September 29, 2011, subject to:

“Efforts by the Secretariat to reduce expenditure through cost efficiency measures by 10.2 million Swiss francs, from 647.4 million Swiss francs to 637.2 million Swiss francs, through, inter alia, travel policies for staff and third parties, premises management, policies for payments of SSAs and honoraria for experts and lecturers, internship programs, receptions and rental of premises and equipment during conferences and a reduction of personnel costs through improved organizational design. These cost efficiency measures will not affect Program delivery, results and targets as set out in the Program and Budget proposal. The Secretariat will report back to Member States on the implementation of the efficiency measures in the annual Program Performance Reports;”*

Table of Contents

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TABLE OF CONTENTS

FOREWORD BY THE DIRECTOR GENERAL .......................................................................5

I. RESULTS OVERVIEW...................................................................................................8

II. FINANCIAL OVERVIEW ..............................................................................................13

INCOME ............................................................................................................... 14

EXPENDITURE ............................................................................................................... 17 OVERALL EXPENDITURE ......................................................................................................... 17 PERSONNEL EXPENDITURE ................................................................................................... 19 NON-PERSONNEL EXPENDITURE .......................................................................................... 20 DEVELOPMENT ACTIVITIES AND DEVELOPMENT AGENDA RESOURCES ....................... 21

III. PROGRAM NARRATIVES BY STRATEGIC GOAL....................................................24

STRATEGIC GOAL I Balanced Evolution of the International Normative Framework for IP 25 Program 1 Patent Law........................................................................................................... 27 Program 2 Trademarks, Industrial Designs and Geographical Indications........................... 31 Program 3 Copyright and Related Rights.............................................................................. 35 Program 4 Traditional Knowledge, Traditional Cultural Expressions and Genetic Resources

............................................................................................................... 41

STRATEGIC GOAL II Provision of Premier Global IP Services ............................................... 45 Program 5 The PCT System ................................................................................................. 48 Program 6 Madrid and Lisbon Systems ................................................................................ 53 Program 31 The Hague System.............................................................................................. 58 Program 7 Arbitration, Mediation and Domain Names.......................................................... 62

STRATEGIC GOAL III Facilitating the Use of IP for Development .......................................... 66 Program 8 Development Agenda Coordination..................................................................... 70 Program 9 Africa, Arab, Asia and the Pacific, Latin America and the Caribbean Countries,

Least Developed Countries ................................................................................. 74 Program 10 Cooperation with Certain Countries in Europe and Asia ..................................... 83 Program 11 The WIPO Academy............................................................................................ 87 Program 30 Small and Medium-Sized Enterprises (SMEs) and Innovation............................ 93

STRATEGIC GOAL IV Coordination and Development of Global IP Infrastructure ............... 99 Program 12 International Classifications and Standards ...................................................... 101 Program 13 Global Databases .............................................................................................. 105 Program 14 Services for Access to Information and Knowledge.......................................... 109 Program 15 Business Solutions for IP Offices ...................................................................... 114

STRATEGIC GOAL V World Reference Source for IP Information and Analysis ................. 118 Program 16 Economics and Statistics................................................................................... 119

STRATEGIC GOAL VI International Cooperation on Building Respect for IP ..................... 123 Program 17 Building Respect for IP ...................................................................................... 124

Program and Budget for 2012/13

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STRATEGIC GOAL VII Addressing IP in Relation to Global Policy Issues .......................... 128 Program 18 IP and Global Challenges.................................................................................. 129

STRATEGIC GOAL VIII A Responsive Communications Interface Between WIPO, its Members and all Stakeholders ......................................................... 134

Program 19 Communications ................................................................................................ 135 Program 20 External Relations, Partnerships and External Offices...................................... 139

STRATEGIC GOAL IX Efficient Administrative and Financial Support ................................. 144 Program 21 Executive Management ..................................................................................... 147 Program 22 Program and Resource Management ............................................................... 152 Program 23 Human Resources Management and Development ......................................... 156 Program 24 General Support Services ................................................................................. 160 Program 25 Information and Communication Technology.................................................... 164 Program 26 Internal Oversight .............................................................................................. 168 Program 27 Conference and Language Services ................................................................. 171 Program 28 Safety and Security............................................................................................ 174 Program 29 Construction Projects ........................................................................................ 177

IV. ANNEXES...................................................................................................................180 ANNEX I 2012/13 BUDGET BY PROGRAM .................................................................... 181 ANNEX II 2012/13 POSTS BY PROGRAM....................................................................... 184 ANNEX III ALLOCATION OF PROJECTED INCOME AND BUDGET BY UNION ............ 185 ANNEX IV EVOLUTION AND DEMAND FOR SERVICES UNDER THE PCT, MADRID AND

THE HAGUE SYSTEMS IN THE MEDIUM TERM............................................ 190 ANNEX V FUNDS IN TRUST RESOURCES POTENTIALLY AVAILABLE FOR

PROGRAMMING............................................................................................... 201 ANNEX VI INDICATORS OF PCT OPERATIONS.............................................................. 203 ANNEX VII WIPO ORGANIGRAM ....................................................................................... 210 ANNEX VIII ANNUAL BUDGET TABLES FOR IPSAS REPORTING .................................. 211 ANNEX IX 2012/13 BUDGET BY EXPECTED RESULT AND PROGRAM........................ 212 ANNEX X DEVELOPMENT AGENDA LINKS FOR PROGRAM AND BUDGET 2012/13. 215

V. APPENDICES.............................................................................................................224 APPENDIX A MEMBER STATES’ CONTRIBUTIONS......................................................... 225 APPENDIX B DEFINITION OF BUDGET HEADINGS ......................................................... 229 APPENDIX C STANDARD COST FOR PERSONNEL......................................................... 231 APPENDIX D FLEXIBILITY FORMULAS ............................................................................. 232 APPENDIX E ACRONYMS AND ABBREVIATIONS USED IN THE PRESENT

DOCUMENT................................................................................................... 233

Foreword by the Director General

FOREWORD BY THE DIRECTOR GENERAL The external environment has presented significant challenges for WIPO during the last two years. As a consequence of the global economic crisis, the income of the Organization has fallen for the first time. While this fall in income has restricted possibilities for new initiatives, it has also presented an opportunity to introduce needed efficiencies and changes in procedures and processes within the Secretariat and in program delivery. I believe that we were able to make considerable progress in taking up that opportunity in the current biennium. In particular,

- A series of cost-containment measures were implemented under a Crisis Management Group that was established to monitor the financial performance of the Organization during the crisis. These measures enabled us to avoid reduction in service delivery despite reduced income.

- The Strategic Realignment Program (SRP) moved from a phase of comprehensive design to deployment. It has introduced wide-ranging reforms across the Organization.

- The long-term process of re-profiling the skill sets of staff to correspond to changing external circumstances is well under way. The new Senior Management Team of Deputy Directors General and Assistant Directors General are in place. Key appointments have been made in the areas of Information and Communication Technology (ICT) (Chief Information Officer), Global Challenges, Human Resources, Economics and Statistics, Procurement, Ethics and Ombuds-function. A Voluntary Separation Program has been completed, reducing head count and opening up space for the regularization of long-serving short-termers occupying continuing positions, as well as allowing for the introduction of some critically needed new skills.

- A new performance management system has been fully deployed, with comprehensive staff training, a financial disclosure system adopted for senior managers and those in sensitive positions, an ethics office has been established and an ethics code is under consultation.

- An Information Technology (IT) strategy has been adopted and is being deployed, including the migration to an external provider of commodity services and the introduction of higher levels of security, business continuity and disaster recovery.

- The Organization has become International Public Sector Accounting Standards (IPSAS) compliant.

- The new building has been completed and staff moved from rented premises into that new building.

These developments have created a solid foundation for building the results for the next two years. The next biennium is expected to see a welcome return to growth, with the Organization’s revenue estimated to grow by 4.7 per cent. This is cause for satisfaction, but two reservations need to be expressed. First, the recovery remains somewhat fragile. We shall continue to monitor the financial performance of the Organization with great vigilance and to publish quarterly financial results on our web site for the benefit of the Member States. A second reservation concerns the cost structure of the Organization. Staff costs account for 64 per cent of expenditure. Step increases, reclassifications and inflation will thus see a significant part of the overall increase in revenue absorbed by staff costs. This result emphasizes the need, in the next several years, to examine judiciously the opportunities presented by out-sourcing in selected areas. The speed of change in the external environment, which calls for the constant renewal of skills, reinforces that need. We already rely heavily on out-sourcing in the areas of PCT translation and IT. Other areas will be carefully and strategically reviewed to identify opportunities to reduce costs through operational efficiency or adjustment of the cost structure where possible. Several of these measures will take root during the course of the next biennium, providing us with the opportunity to monitor and report the results through the annual and biennial program performance reporting process. These improvements would then be baselined into the subsequent program and budget proposals. In order to balance the 2012/13 budget proposal, no new posts or headcount will be added in the next biennium. Emphasis will instead be on the consolidation of human resources, managing performance and alignment of the existing work force to organizational needs. In line with our commitment to long-serving short-termers, the regularization of continuing short-term positions will be undertaken for

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60 posts in the next biennium (out of 156 approved in principle by Member States to be implemented over five years). Sixty-six continuing short-term positions are expected to have been regularized in the current biennium through the filling of posts vacated as a result of the successful execution of the Voluntary Separation Plan. The proposal also contains within it a number of cost efficiency indicators across the administrative and support areas, as well as in areas of core operations such as PCT operations, where strategic investments in Information and Communication Technology (ICT) and customer facing systems are continuously improving productivity of our core operations. Pursuant to engaging discussions with Member States during the June 2011 informal Program and Budget Committee meeting, we are furthering the work we undertook to review and revise the policy guidelines for staff and third party travel and will be in a position to share with Member States the potential savings and estimated efficiency gains from such measures. Some of the detailed strategies and measures being considered are:

- Further review and tightening of the travel policy and guidelines;

- Stricter and more systematic enforcement of the guidelines by Senior Management Team members;

- Improved planning discipline to ensure delayed booking costs are minimal or limited to exceptions;

- Extension of the staff travel policy to third parties and financed participation of delegates;

- Review and containment of hospitality costs; and

- Increased use of videoconferencing and webcasting and the introduction of e-conferences

The results-based planning approach applied to the preparation of the Program and Budget proposal for the 2012/13 biennium has also yielded many positive results, including the identification of synergies across programs, the clarification of scope and boundaries of work where multiple programs contribute to a single result, greater clarity (and hence accountability) of the results framework and program performance indicators, clear baselines and targets and, consequently, a much stronger basis for reporting to the Member States through the program performance reporting process. The implementation of major parts of the SRP in the next biennium is further expected to assist in containing expenditure through greater efficiency in our business processes and better alignment of our programs, structure and resources to the Organization’s nine Strategic Goals. Development remains a priority in the 2012/113 biennium, reflected in an overall increase in development expenditure from 19.4 per cent in the present 2010/11 biennium to 21.3 per cent in the next biennium. Consistently with the expressed wishes of Member States, development has been mainstreamed. The Results Framework Chart identifies precisely where resources are devoted to development across the various programs. Mainstreaming has brought about greater coherence in our development activities and greater coordination between the Regional Bureaus and the substantive program sectors. The Regional Bureaus, the Certain Countries in Europe and Asia and the Least Developed Countries Divisions remain the focal points for the least developed and developing countries and for countries with economies in transition. They keep the master plans for the activities proposed and conducted and the results to be achieved by the Organization in each country and are also particularly responsible for national IP strategies and plans and capacity building. The substantive areas are responsible for delivery, within their areas of competence and always in cooperation with the Regional Bureaus, in accordance with the national IP strategies or country plans developed with each country. Increased efforts will be made to move from an ad-hoc request-driven to a strategic demand-driven planning approach. Other key outcomes that are foreseen for the new biennium include:

- Increased geographical coverage and use of WIPO’s Global IP Systems (PCT, Madrid System, Hague System, Lisbon System and the WIPO Arbitration and Mediation Center), the simplification of those systems and the continuous improvement and attractiveness of the systems through better IT services and tools and the amendment and updating of relevant regulations through the various working groups convened under the Assemblies of the relevant Unions.

- The development of new norms and instruments in the international legal framework. It is always difficult to suggest clear outcomes in the normative area, since they depend entirely

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Foreword by the Director General

on the collective will of the Member States to reach shared positions. However, a number of exercises are reaching a degree of technical maturity that now require only political will for completion. These include audiovisual performances, access to published works on the part of the print disabled, broadcasters’ rights, traditional cultural expressions, traditional knowledge and genetic resources, design formalities and the reform of the Lisbon Agreement on the International Registration of Appellations of Origin.

- The improvement of global IP infrastructure through the expansion of global IP information databases, public-private cooperation in the availability of scientific and technical periodicals and databases for the least developed and developing countries, the continued development of technical standards permitting enhanced inter-office cooperation, the establishment or improvement of digital infrastructure in the offices of the least developed and developing countries, the delivery of knowledge-sharing platforms (such as WIPO CASE for the sharing of search and examination reports) and the establishment of technology and innovation support centers and transfer of technology offices in the least developed and developing countries.

The draft Program and Budget reflects our determination to advance positive strategic change for the Organization and to deliver the results that Member States and stakeholders expect. I would like to thank Member States for their input to and engagement with the process of developing the Program and Budget and for their ongoing contributions to the development of a shared vision of progress.

Francis Gurry

Director General

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I. RESULTS OVERVIEW 1. This Program and Budget provides the planning for the biennium 2012/13 within the overall strategic context of the Medium Term Strategic Plan (MTSP) and guided by the inputs received from Member States. 2. The current proposal ensures that the Organization’s resources are first deployed to the achievement of results that are of highest value to our Member States and stakeholders. In this context, some of the highest priorities in the 2012/13 biennium are:

(i) Ensuring a more widespread and better use of the services provided by WIPO’s global registration systems, in particular, the PCT, Madrid and The Hague, remains a key priority in 2012/13 as a fundamental part of the services offered by the Organization and a main foundation for its long term financial sustainability. This will require meeting the challenges of the changing geographical composition of demand for such services including the adaption of the required language skills. Operational efficiency of the registration systems will also be enhanced by continuing to improve the electronic environment.

(ii) Facilitating enhanced cooperation and greater consensus among Member States on the further development of a balanced international normative framework for IP will be a key focus in 2012/13:

− WIPO will aim at achieving progress in the development of a balanced international

legal framework for trademarks, industrial designs and geographical indications, with outcomes at an appropriate normative level. Special emphasis will be placed on a future international regulatory framework for industrial design procedures, subject to sufficient progress being made at the preparatory level.

− Good progress is being made in the discussions on the protection of audiovisual

performances and broadcasting organizations in the Standing Committee on Copyright and Related Rights (SCCR). A recommendation has been made for the General Assembly to decide on the reconvening of a Diplomatic Conference on the Protection of audiovisual performances. Limitations and exceptions to copyrights and related rights also continue to be considered in the agenda of the Committee and recent debate has focused on the needs for access to content in accessible formats by persons with disabilities, particularly visually impaired persons, as well as on the limitations and exceptions for libraries, archives and educational uses. The Secretariat will continue to facilitate discussions with a view to reaching a consensus result.

− The Intergovernmental Committee on Intellectual Property and Genetic Resources,

Traditional Knowledge and Folklore (IGC), at its 19th session in July 2011, recommended that the WIPO General Assembly in September 2011 renew its mandate for the 2012/13 biennium. In terms of the proposed new mandate, the ICG would be requested to submit to the 2012 General Assembly the text(s) of an international legal instrument(s) which will ensure the effective protection of genetic resources, traditional knowledge and traditional cultural expressions. The 2012 General Assembly would “take stock of and consider the text(s), progress made and decide on convening a Diplomatic Conference, and will consider the need for additional meetings, taking account of the budgetary process”.

− Provision has been made for the possibility of diplomatic conferences should

Member States decide to convene them in the biennium 2012/13.

(iii) Increased efforts will be dedicated in the biennium 2012/13 to enhance access to, and use of IP information and knowledge by IP institutions and the public to promote innovation and to enhance the access to protected creative works and creative works in the public domain. This will be achieved, firstly, by way of creating global IP infrastructure providing IP knowledge content, as public goods. This will be enhanced by global database initiatives such as

8

Results Overview

PATENTSCOPE and GLOBAL BRAND DATABASE and continued exploration of the feasibility of establishing international databases for creative works. Secondly, enhanced access to IP knowledge content will be facilitated through the creation of Technology Innovation Support Centers (TISCs) and University Technology Transfer Offices (TTOs). Thirdly, the strengthening of the technical infrastructure of IP offices, copyright offices and collective management organizations will facilitate an enhanced interaction between those offices/organizations and the provision of more online services to all stakeholders.

(iv) Enhancing human resource capacity in developing countries, LDCs and countries with economies in transition to effectively use IP for development, including by small and medium-sized enterprises (SMEs), remains a substantial and cross-cutting strategy of most of the substantive Programs. Initiatives range from strengthening the human resources capacities of IP institutions to training in innovation commercialization, copyright, patent drafting, TK, TCEs and GRs and enforcement.

(v) More effective communication to a broad public about IP and WIPO’s role is crucial to enable the Organization to optimize delivery of its mandate. Communication efforts will hence focus on achieving greater visibility and wider recognition of WIPO’s role in encouraging innovation and creativity; in facilitating multilateral dialogue on IP issues; and, as the primary, trusted provider of international IP expertise, information and services.

(vi) Enhancing coordination and coherence within the Secretariat will continue through the Strategic Realignment Plan (SRP) to build a results-oriented, service-delivery and integrated administration, with strengthened management accountability, a productive work environment, which reflects organizational values, and is supported by a fair and equitable regulatory framework, respectful workplace policies and effective channels to address staff concerns.

(vii) Enhanced efforts to provide effective and efficient and customer-oriented services to external stakeholders and internal clients will be pursued. The reform of human resource management policies and processes will contribute to the creation of a well managed, diversified, motivated and appropriately skilled workforce and an improved working environment. Enabling culture change through a focus on performance, both at the individual and organizational level, will build on progress made in the biennium 2010/11. The implementation of the Information and Communication Technology (ICT) strategy and enhanced ICT governance will focus on realizing business benefits from ICT investments that are closely aligned to strategic priorities.

3. Development remains a priority in the biennium 2012/13 in line with the MTSP and Member States’ expectations. This is reflected by an increase in development expenditure in the next biennium (Results Framework Chart and Table 9). One of the main objectives of the 2012/13 planning process has been the mainstreaming of development across all substantive Strategic Goals and all relevant Programs of the Organization in line with the Development Agenda (DA) recommendations (Results Framework Chart: see development share budget by result). This has resulted in the mainstreaming of WIPO’s activities related to a) national IP regulatory frameworks that promote creativity and innovation and reflect the level of development of the different WIPO Member States; and b) the strengthening of the institutional and technical infrastructure of IP institutions into the substantive Strategic Goals I and IV, respectively, and the relevant substantive Programs 1, 2, 14 and 15. This mainstreaming is expected to improve the Organization’s delivery of development oriented activities to developing countries, LDCs and countries with economies in transition in terms of effectiveness, efficiency, better coordination and coherence with an ultimate higher development impact. The delivery model is based on substantive sectors providing the substantial and technical expertise for the implementation of development activities. The Regional Bureaus and the Certain Countries in Europe and Asia and LDCs Divisions are to be the custodians of planning and programming at the national level, in close cooperation with all countries concerned, and responsible for the overall coordination of activities at the country level. In addition, the strategy for delivering development activities will shift from a request driven to a more strategic and needs driven approach articulated in country plans. 4. The Development Agenda recommendations continue to guide WIPO activities. Program linkages to the DA recommendations have been substantively reflected in each relevant program narrative. DA projects have been mainstreamed, both in terms of substance and resources, in each program. Linkages are provided to the organizational expected results in line with the Budgetary

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Process for Projects Proposed by the Committee on Development and Intellectual Property (CDIP) for the Implementation of the DA Recommendations approved by the WIPO Assemblies in 20101. Applying a consistent project management and review methodology to DA projects will continue to ensure that lessons from the projects are adequately learned before embarking on subsequent project phases, subject to the approval of the CDIP, or mainstreaming project activities into the regular work of the Organization. 5. The mainstreaming of development, including DA projects, is illustrated in the Results Framework Chart, by Strategic Goal III “Facilitating the use of IP for Development” being both a “vertical” and a “horizontal” Goal. The development share of the budget by result (Results Framework Chart) clearly delineates the proportion of each expected result which is development oriented and directly benefits developing countries, LDCs and countries with economies in transition. Expenditure is defined as development expenditure only where the beneficiary is a developing country and the equivalent expenditure is not available for developed countries. The next biennium will see an increase in the overall share of development expenditure (excluding DA projects) from 19.4 per cent in 2010/11 to 21.7 per cent in 2012/13, representing an increase of 17 per cent in development expenditure while overall expenditure increase has been contained at 4.7 per cent.2 6. WIPO’s support for the Millennium Development Goals (MDGs) is undertaken within the framework of the nine Strategic Goals and involves activities across a wide variety of Programs, Committees and projects, including several DA projects, which are relevant to the achivement of the MDGs. Mainstreaming development into all relevant WIPO Programs helps in WIPO’s efforts to ensure that it contributes to the achievement of internationally agreed development goals and targets, including the MDGs. 7. A more structured bottom-up planning exercise and a comprehensive review and enhancement of the biennial results framework as part of the initiative on Strengthening Results-based Management (RBM) in the SRP, has resulted in a sharper focus on the results to be achieved by the Organization in 2012/13 with clear linkages to the nine Strategic Goals. The major improvements in the proposal with respect to the presentation of a results oriented Program and Budget proposal are :

− The expected results, previously embedded within individual programs with a certain degree of duplication, have now been consolidated at the Organizational level linked to Strategic Goals and are represented in the Results Framework Chart which thus provides a strategic overview of the organizational results framework for the biennium 2012/13.

− The consolidation of and planning for results at the organizational rather than program

level, reflect their truly cross-cutting nature and helps demonstrate how several programs are contributing to the achievement of a particular expected result measured by separate performance indicators. In other cases, programs share responsibility for contributing to the achievement of an expected result. These cross-functional linkages in achieving the biennial organizational results are illustrated in the results tables in the introduction to each of the Strategic Goals.

− In addition, for the first time, resources have been fully aligned with the results expected

to be achieved. The Results Framework Chart also provides the results-based view of the budget for the biennium 2012/13 and the development share of resources for each result. Furthermore, a breakdown of the extra-budgetary resources potentially available under each Program is reflected at the program level and in Annex V.

1 Review of Budgetary Process Applied to Projects Proposed by the Committee on Development and Intellectual Property (CDIP) for the Implementation of the Development Agenda Recommendations (A/48/5 REV.) 2 Following concerns expressed by several delegations during the 18th session of the PBC, this definition is considered as an interim definition for purposes of the 2012/13 biennium Program and Budget. This definition would be refined further, in informal consultations convened by the Chair of the PBC, with a view to evolving a more precise definition of ‘development expenditure’ in the context of the WIPO Program and Budget. The revised definition should be submitted to the 19th session of the PBC for consideration and recommendation for approval by the General Assembly. The revised definition would be used for the preparation of the Program and Budget for the next biennium 2014/15.

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Results Overview

− In order to establish an improved basis for measuring organizational performance and reporting to Member States through the Program Performance Report (PPR), more measurable performance indicators with baselines and targets have been identified. These are reflected in the program level results frameworks.

8. The Program and Budget proposal, with these changes, lays a strong foundation for an enhanced program performance reporting process that would address a number of recommendations made by the independent validation carried out by Internal Audit and Oversight Division (IAOD) and the call for improvements made by Member States in respect of the PPR.

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Program and Budget for 2012/13 1, 2, 3, 4RESULTS FRAMEWORK AND PROGRAM AND BUDGET 2012/13 INCLUDING DEVELOPMENT SHARE BY RESULT

(in thousands of Swiss francs)

Strategic Goal VIII - A Responsive Communications Interface between WIPO, its Member States and All Stakeholders

More effective communication to a broad public about intellectual property and WIPO’s role Proposed Budget 12/13: 13,664 Development share: 5,974

Improved service orientation and responsiveness to inquiries Proposed Budget 12/13: 2,935 Development share: 1,402

Effective engagement with Member States Proposed Budget 12/13: 5,311 Development share : -

Open, transparent and responsive interaction with NGOs Proposed Budget 12/13: 1,194 Development share: -

WIPO effectively interacts and partners with UN and other IGO processes and negotiations Proposed Budget 12/13: 3,652 Development share: 65

Total proposed budget SG VIII: 26,756 Total development share SG VIII: 7,441

Strategic Goal I: Balanced Evolution of the International Normative

Framework for IP

Strategic Goal II: Provision of Premier Global IP Services

Strategic Goal III: Facilitating the Use of IP for Development

Strategic Goal IV: Coordination and Development of

Global IP Infrastructure

Strategic Goal V: World Reference Source for IP Information and Analysis

Strategic Goal VI: International Cooperation on

Building Respect for IP

Strategic Goal VII: Addressing IP in Relation

to Global Policy Issues

Enhanced cooperation/greater consensus among Member States on further developing balanced policy and normative frameworks for the international patent system, trademarks, industrial designs, geographical indications, copyright and related rights, TK, TCEs and GRs Proposed Budget 12/13: 15,256 Development share: 7,263 Evidence-based decision making on copyright issues Proposed Budget 12/13: 2,754 Development share: 2,754 Tailored and balanced IP legislative, regulatory and policy frameworks Proposed Budget 12/13: 10,080 Development share: 9,840 Increased protection of State emblems and names and emblems of International Intergovernmental Organizations Proposed Budget 12/13: 556 Development share: 37

Informed strategic use of the PCT by all innovators who could benefit from it Proposed Budget 12/13: 7,041 Development share: - Stronger relationships with PCT users and Offices Proposed Budget 12/13: 16,897 Development share: 5,203 Enhancement of overall PCT system Proposed Budget 12/13: 3,225 Development share: 250 Enhanced IB operations Proposed Budget 12/13: 152,098 Development share: - Increased awareness of the Hague system Proposed Budget 12/13: 2,185 Development share: - Wider and better use of the Hague system Proposed Budget 12/13: 2,153 Development share: - Better administration of the Hague system Proposed Budget 12/13: 2,633 Development share: - Better use of the Madrid & Lisbon systems, including by developing countries and LDCs Proposed Budget 12/13: 7,841 Development share: 2,957 Better operations of the Madrid & Lisbon systems Proposed Budget 12/13: 43,445 Development share: 730 Increased awareness of the Madrid & Lisbon systems Proposed Budget 12/13: 1,546 Development share: 1,133 International and domestic intellectual property disputes are increasingly prevented or resolved through mediation, arbitration and other alternative dispute resolution methods Proposed Budget 12/13: 3,175 Development share: 91 Effective intellectual property protection in the gTLDs and the ccTLDs Proposed Budget 12/13: 7,409 Development share: 212

Clearly defined and coherent national innovations and IP policies, strategies and development plans consistent with national development goals and objectives Proposed Budget 12/13: 10,570 Development share: 10,570 Enhanced human resource capacities able to deal with the broad range of requirements for the effective use of IP for development in developing countries, LDCs and countries with economies in transition Proposed Budget 12/13: 35,611 Development share: 35,146 Easier access to IP education Proposed Budget 12/13: 3,903 Development share: 3,903 Upgraded IP Management skills for business Proposed Budget 12/13: 843 Development share: 843 DA principles further mainstreamed into the Organization’s programs and activities Proposed Budget 12/13: 4,199 Development share: 4,199 Effective planning, implementation, monitoring, evaluation and reporting on the DA recommendations Proposed Budget 12/13: 1,220 Development share: 1,220 Enhanced understanding of the DA by Member States, IGOs, civil society and other stakeholders Proposed Budget 12/13: 1,523 Development share: 1,523 Recognition by Member States, communities, organizations and other stakeholders of the relevance and effectiveness of WIPO’s resources, programs and tools Proposed Budget 12/13: 825 Development share: 771 New or strengthened cooperation mechanisms, programs and partnerships in LDCs Proposed Budget 12/13: 1,517 Development share: 1,517 Increased understanding/capacity of SMEs and SMEs support institutions to successfully use IP to support innovation and commercialization Proposed Budget 12/13: 5,253 Development share: 5,253 Increased extra-budgetary resources available for IP for development, either through direct contributions to WIPO or access to other external funding mechanisms Proposed Budget 12/13: 1,769 Development share: 1,429

Updated and globally accepted system of international classifications and WIPO standards to facilitate access, use and dissemination of IP information among stakeholders in the world Proposed Budget 12/13: 6,932 Development share: 1,213 Enhanced access to, and use of, IP information and knowledge by IP institutions and the public to promote innovation and increased access to protected creative works and creative works in the public domain Proposed Budget 12/13: 14,974 Development share: 12,478 Increased dissemination of digitized patent collections of national/regional offices of WIPO Member States Proposed Budget 12/13: 1,210 Development share: 302 Timeliness of PATENTSCOPE updates regarding PCT applications Proposed Budget 12/13: 2,159 Development share: 540 Enhanced technical and knowledge infrastructure for IP Offices and other IP institutions leading to better services (cheaper, faster, higher quality) to their stakeholders Proposed Budget 12/13: 16,832 Development share: 13,948

Increased usage of WIPO statistical information on the performance of the international IP system Proposed Budget 12/13: 1,569 Development share - Take-up of WIPO economic analysis as an input into the formulation of IP policy Proposed Budget 12/13: 2,711 Development share: 1,202 Enhanced access to, and use of, IP-related legal information Proposed Budget 12/13: 2,244 Development share: 2,102

Progress in the international policy dialogue among WIPO Member States on building respect for IP, guided by Recommendation 45 of the WIPO Development Agenda Proposed Budget 12/13 635 Development share: 276 Systematic, transparent and effective cooperation and coordination between the work of WIPO and other international organizations in the field of building respect for IP Proposed Budget 12/13: 785 Development share: 589

Enhanced understanding among policy makers on the interface between global challenges and innovation and intellectual property as a basis for improved policy decision making Proposed Budget 12/13: 1,168 Development share: 655 WIPO established as a credible source of support, assistance, and reference for information on innovation and IP in relevant public policy processes Proposed Budget 12/13: 2,149 Development share: 1,219 IP-based tools are used for technology transfer from developed to developing countries, particularly least developed countries, to address global challenges Proposed Budget 12/13: 2,596 Development share: 1,887 WIPO established as the relevant Forum for analyzing and debating issues in the field of IP and competition policy Proposed Budget 12/13: 1,381 Development share: 1,303

Total proposed budget SG I: 28,646 Total development share SG I: 19,894

Total proposed budget SG II: 249,647 Total development share SG II: 10,577

Total proposed budget SG III: 67,235 Total development share SG III: 66,375

Total proposed budget SG IV: 42,107 Total development share SG IV: 28,481

Total proposed budget SG V: 6,524 Total development share SG V: 3,304

Total proposed budget SG VI: 1,420 Total development share SG VI: 865

Total proposed budget SG VII: 7,294 Total development share SG VII: 5,063

Strategic Goal IX - Efficient Administrative and Financial Support Structure to enable WIPO to Deliver its Programs

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nda

Effective, efficient, quality and customer-oriented support services both to internal clients and to external stakeholders (human resources, IT, conference, language, procurement, travel, printing and publication, premises management) Proposed Budget 12/13: 136,604 Development share: -

Efficient and effective results-based programmatic and financial planning, processing, implementation, assessment and reporting Proposed Budget 12/13: 18,901 Development share: 605 Enhanced coordination and coherence within the Secretariat Proposed Budget 12/13: 10,255 Development share: -

Well managed, diversified, motivated and appropriately skilled professional workforce Proposed Budget 12/13: 12,703 Development share: - Improved working environment supported by enabling regulatory framework and effective channels to address staff concerns Proposed Budget 12/13: 1,038 Development share: -

WIPO staff, delegates, visitors and information and physical assets are safe and secure Proposed Budget 12/13: 15,031 Development share: - ICT investments are closely aligned with strategic priorities and yield business benefits Proposed Budget 12/13: 2,147 Development share: - Improved physical access to the WIPO Campus Proposed Budget 12/13: 439 Development share: -

An effective and professional internal audit function is in place covering all high risk work areas Proposed Budget 12/13: 1,364 Development share: - Investigation reports provide a sound basis for decision making by the Director General Proposed Budget 12/13: 1,364 Development share: -

Evidence-based evaluative information available to senior management, program managers and Member States for decision making Proposed Budget 12/13: 2,321 Development share: 1,741 Reduced impact of WIPO’s activities on the environment Proposed Budget 12/13: 299 Development share: -

New conference hall and related facilities available for meetings of Member States Proposed Budget 12/13: 811 Development share: - Costs related to the new administrative building are kept to a minimum Proposed Budget 12/13: 7,020 Development share - Total proposed budget SG IX: 210,298 Total development share SG IX: 2,346

1 The proposed budget by results does not include the proposed budget for unallocated: 7,503 2 Development share: Expenditure is qualified as development expenditure only where the beneficiary is a developing country and the equivalent expenditure is not available for developed countries (consistent with past practice, countries with economies in transition are included for the purposes of the Program and Budget) 3 The figures for Development Share include Development Agenda project resources 4 Expected results which benefit the broader membership, and not exclusively developing countries, do not reflect a development share

Total proposed budget 2012/13: 647,430 (of which 7,503 is unallocated) Total development share: 144,347

12

Financial Overview

II. FINANCIAL OVERVIEW

Table 1. Main Financial Parameters of the Organization (in millions of Swiss francs)

2008/09 2010/11 2010/11 2012/13

Difference 2012/13 vs. 2010/11

Budget after TransfersActual Approved Budget after Budget Amount %

Budget Transfers

INCOMEContributions 34.8 34.8 34.8 34.9 0.0 0.1%Fees

PCT System 443.6 446.2 446.2 480.6 34.4 7.7%Madrid System 94.8 106.0 106.0 104.4 (1.6) -1.5%Hague System 5.4 7.4 7.4 11.2 3.8 51.2%Lisbon System 0.0 0.0 0.0 0.0 0.0 0.

Total Fees 543.8 559.6 559.6 596.2 36.6 6.5%Other income*** 28.8 24.2 24.2 16.4 (7.8) -32.4%

TOTAL INCOME 607.4 618.6 618.6 647.4 28.8 4.7%

EXPENDITUREPersonnel Expenditure 396.8 405.4 396.8 413.4 16.6 4.2%Non-Personnel Expenditure 180.0 213.3 221.9 234.0 12.2 5.5%

TOTAL EXPENDITURE 576.8 618.6 618.6 647.4 28.8 4.7%

SURPLUS/

0%

(DEFICIT) 30.6 - - - - n/a

REGISTRATION ACTIVITIESNumber of PCT applications 318,632 333,900 333,900 368,000 34,100 10.2%Number of Madrid Registrations and Renewal 115,616 131,600 131,600 128,900 -2,700 -2.1%Number of Hague Registration and Renewals 9,103 12,300 12,300 17,800 5,500 44.7%

***This includes income from the Arbitration, Publications, Interest and Other categories.

*Fee income for the Lisbon system is Sfr10 thousand in 2012/13**SSA are shown under Non-Personnel Resources due to a change implemented in April 2010.

**

*

9. The proposed Program and Budget for the 2012/13 biennium is submitted to Member States for their consideration in accordance with the Financial Regulations and Rules of the Organization, and the mechanism adopted by Member States in respect of the process for the submission and approval of the Program and Budget of the Organization. 10. This section provides an overview of the main financial parameters for the 2012/13 biennium, together with the key changes foreseen and proposed in the Organization’s income and expenditure levels respectively.

11. At the forty-third session of the Assemblies from September 24 to October 3, 2007, the Member States agreed in principle to the adoption by WIPO of IPSAS (International Public Sector Accounting Standards) by 2010 (reference document A/43/5). This agreement formed part of a United Nations system-wide initiative endorsed by the General Assembly (A/RES/60/283(IV)I) to replace the existing United Nations Systems Accounting Standards (UNSAS) with IPSAS, which are internationally recognized. Accordingly, WIPO’s financial statements from the year 2010 are prepared in accordance with IPSAS. 12. WIPO’s budget continues to be prepared on a modified accrual basis, in accordance with the Organization’s Financial Regulations and Rules. All proposed figures for income and expenditure in the 2012/13 biennium have been set out on a budgetary basis. Differences between the budgetary and IPSAS based actual will be presented and reconciled in the Organization’s financial statements, as required under IPSAS.

13. WIPO’s budget continues to be adopted by the Assemblies on a biennial basis. In compliance with IPSAS, the Organization must present financial statements on an annual basis. For this purpose, annual budget figures are provided for both income and expenditure under Annex VIII of this document.

13


INCOME 14. The base case estimate for overall income in 2012/13 is projected at the level of 647.4 million Swiss francs, representing an increase of 4.7 per cent over the base case income foreseen in the Program and Budget for 2010/11. As illustrated in the table below, the base case scenario foresees increases for both the PCT and Hague systems, while a slight downward adjustment is foreseen for the Madrid registration system compared to the income estimates provided in the 2010/11 Budget. 15. Income from Arbitration and Mediation activities is expected to increase by 2.6 per cent, while interest income is foreseen to decline significantly as a result of lower interest rates expected to be applied to WIPO’s deposits.

Table 2. Evolution of the Income of the Organization from 2004/05 to 2012/13 (in millions of Swiss francs)

2004/05 2006/07 2008/09 2010/11 2012/13

Difference 2012/13

vs. 2010/11 Actual Budget Budget Amount %

Contributions 34.4 34.7 34.8 34.8 34.9 0.0 0.1%

FeesPCT System 400.6 451.1 443.6 446.2 480.6 34.4 7.7%Madrid System 60.8 90.3 94.8 106.0 104.4 (1.6) -1.5%Hague System 5.0 5.0 5.4 7.4 11.2 3.8 51.2%Lisbon System 0.0 0.0 0.0 0.0 0.0 0.0 0.0%Sub-total, Fees 466.5 546.5 543.8 559.6 596.2 36.6 6.5%

Arbitration 2.5 3.2 3.3 2.7 2.7 0.1 2.6%Publications 4.4 2.7 1.1 1.0 1.0 0.0 0.0%Miscellaneous

Interest 8.9 15.8 17.8 16.3 8.1 (8.3) -50.6%Other 6.0 6.4 6.5 4.2 4.6 0.3 8.1%Sub-total, Miscellanous 14.9 22.2 24.3 20.5 12.6 (7.9) -38.5%

TOTAL 522.7 609.3 607.4 618.6 647.4 28.8 4.7%

16. Income is projected by Union, together with expenditures allocated to the same. While the overall budget for the Organization is based on a balance between income and expenditure, the result by Union on a budgetary basis indicates deficits expected for the Hague and Lisbon Unions. Further details of the allocation of income and expenditure by Union are provided in Annex III.

Table 3. Financial Overview by Union 2012/13 (in thousands of Swiss francs)

CF Unions PCT Union Madrid Union Hague Union Lisbon Union Total

Amount % Amount % Amount % Amount % Amount % Amount %

2012/13 Income 36,479 488,117 109,872 12,111 850 647,430

2012/13 Expenditure 36,467 487,517 109,420 12,501 1,526 647,430

Surplus/Deficit 12 600 453 -390 -675 -

RWCF, Target* 18,234 50.0 73,128 15.0 27,355 25.0 1,875 15.0 - n/a 120,591 18.6*RWCF targets are calculated as percent of the biennial expenditure for each union

14

Financial Overview

17. As in previous biennia, low case and high case scenarios are also presented for the fee income estimates, which drive WIPO’s overall income levels. Table 4 indicates that overall income levels are projected to be in the range of 602 million Swiss francs in the low case, and 686.8 million Swiss francs in the high case.

Table 4. Income Forecast Scenarios for 2012/13 (in millions of Swiss francs)

2012/13 FORECAST SCENARIOS

2008/09 2010/11 Base Difference Low Difference High DifferenceActual Budget Case from Case from Case from

2010/11 2010/11 2010/11

Contributions 34.8 34.8 34.9 0.04 34.9 0.04 34.9 0.04Fees

PCT System 443.6 446.2 480.6 34.4 435.2 (11.0) 520.0 73.8Madrid System 94.8 106.0 104.4 (1.6) 104.4 (1.6) 104.4 (1.6)Hague System 5.4 7.4 11.2 3.8 11.2 3.8 11.2 3.8Lisbon System 0.0 0.0 0.0 - 0.0 - 0.0 -Sub-total, Fees 543.8 559.6 596.2 36.6 550.8 (8.8) 635.6 76.0

Arbitration 3.3 2.7 2.7 0.07 2.7 0.07 2.7 0.07Publications 1.1 1.0 1.0 - 1.0 - 1.0 -Miscellaneous

Interest 17.8 16.3 8.1 (8.3) 8.1 (8.3) 8.1 (8.3)Other 6.5 4.2 4.6 0.3 4.6 0.3 4.6 0.3Sub-total, Miscellaneous 24.3 20.5 12.6 (7.9) 12.6 (7.9) 12.6 (7.9)

TOTAL 607.4 618.6 647.4 28.8 602.0 (16.6) 686.8 68.2 18. With the proposed expenditure level of 647.4 million Swiss francs, the financial result for the Organization could vary significantly if income levels were to approach the low or high case scenarios noted below. The Crisis Management Group (CMG), established under the chairmanship of the Director General in 2009, continues to systematically monitor the evolution and potential impact of global financial and economic developments on WIPO’s actual and projected income, alongside the regular monitoring of the Organization’s expenditure levels (the Terms of Reference of the CMG can be found on the Financial Observatory for Member States’ information). The Financial Observatory, via WIPO’s internet site, continues to be updated quarterly with a series of tables illustrating the financial status of the Organization for Member States.

Table 5. Scenarios for Financial Results (in millions of Swiss francs)

2012/13 Budget

(BASE CASE)

2012/13 LOW CASE

2012/13 HIGH CASE

Income 647.4 602.0 686.8 Expenditure

Personnel (incl. unallocated) 413.4 413.4 413.4

Non-Personnel (incl. unallocated) 234.0 234.0 234.0

Total, Expenditure 647.4 647.4 647.4

Surplus/(Deficit) -- (45.4) 39.4

15


19. The main source of income for the Organization remains fees from services provided under the PCT, Madrid and Hague systems. Fee income represented 90 per cent of the Organization’s total income in 2008/09, and is estimated to represent a similar proportion in 2010/11. For the 2012/13 biennium, a slight increase in the share of fee income is foreseen, to 92.1 per cent of total income, as a result of the decline projected in interest income primarily. The following Charts illustrate the share of the various income elements (Chart 1A) and the various registration systems within the fee income (Chart 1B) between 2004 and 2013.

Chart 1A. Evolution of the Share of Income of the Organization from 2004/05 to 2012/13 – by Source of Income

0%

20%

40%

60%

80%

100%

Assessed Contributions 6.6% 5.7% 5.7% 5.6% 5.4%

Fee Income 89.2% 89.7% 89.5% 90.5% 92.1%

Arbitration 0.5% 0.5% 0.5% 0.4% 0.4%

Publications 0.8% 0.4% 0.2% 0.2% 0.2%

Miscellaneous 2.9% 3.6% 4.0% 3.3% 2.0%

2004/05 Actual

2006/07 Actual

2008/09 Actual

2010/11 Budget

2012/13 Budget

Chart 1B. Evolution of the Share of Income of the Organization from 2004/05 to 2012/13 – PCT and Madrid Systems vs. Other income Components

0.0%

10.0%

20.0%

30.0%

40.0%

50.0%

60.0%

70.0%

80.0%

PCT System 76.6% 74.0% 73.0% 72.1% 74.2%

Madrid System 11.6% 14.8% 15.6% 17.1% 16.1%

Hague System 1.0% 0.8% 0.9% 1.2% 1.7%

Other 10.8% 10.3% 10.5% 9.5% 7.9%

2004/05 Actual

2006/07 Actual

2008/09 Actual

2010/11 Budget

2012/13 Budget

16

Financial Overview

20. Estimates for fee income are based on the forecast models developed by the Secretariat. Details of the models and the assumptions underlying the projected income figures are contained in Annex IV of this document. The table below shows the estimates for demand for services (workload) for 2012/13 under the PCT, Madrid and Hague systems, as compared to those included in the 2010/11 Budget, together with actual figures for the 2008/09 biennium.

Table 6. Estimates for Demand for Services (Workload) under the PCT, Madrid and Hague Systems

Total Total Total 2010 2011 2010/11 2012 2013 2012/13 Difference from 2010/112008 2009 2008/09 Budget Budget Budget Estimate Estimate Estimate Amount %

Actual Actual Actual

1. PCT

IAs filed: Base case 163,235 155,397 318,632 163,800 170,100 333,900 180,800 187,200 368,000 34,100 10.2%IAs filed: Low case 169,200 172,900 342,100 8,200 2.5%IAs filed: High case 190,900 199,200 390,100 56,200 16.8%

2. MadridRegistrations 40,985 35,925 76,910 42,800 44,200 87,000 42,100 43,500 85,600 (1,400) -1.6%Renewals 19,472 19,234 38,706 22,700 21,900 44,600 21,300 22,000 43,300 (1,300) -2.9%Registrations & Renewals: Base case 60,457 55,159 115,616 65,500 66,100 131,600 63,400 65,500 128,900 (2,700) -2.1%

3. HagueRegistrations 1,522 1,681 3,203 3,100 4,000 7,100 5,000 7,500 12,500 5,400 76.1%Renewals 3,152 2,748 5,900 2,600 2,600 5,200 2,800 2,500 5,300 100 1.9%Registrations & Renewals: Base case 4,674 4,429 9,103 5,700 6,600 12,300 7,800 10,000 17,800 5,500 44.7%

EXPENDITURE OVERALL EXPENDITURE 21. The proposed level of total expenditure for the 2012/13 biennium is 647.4 million Swiss francs, representing an increase of 28.8 million Swiss francs, or 4.7 per cent over the 2010/11 Budget. Personnel costs are proposed to increase by 16.6 million Swiss francs, representing an increase of 4.2 per cent, and non-personnel costs are proposed to increase by 12.2 million Swiss francs, representing an increase of 5.5 per cent.

17


Table 7. Budget for 2012/13 - by Object of Expenditure (in thousands of Swiss francs)

2010/11 2010/11 2012/13 Difference Approved Budget ProposedBudget after transfers Budget

A. Personnel ResourcesPosts4 348,146 347,205 361,885 14,680 4.2%Short-term Professional n/a n/a 20,086 n/a n/aShort-term General Service n/a n/a 30,323 n/a n/a[Consultants]2 11,522 11,780 n/a n/a n/a[Short-term Employees]2 40,717 36,670 n/a n/a n/aSpecial Service Agreements (SSA)3 4,541 n/a n/a n/a n/aInterns 448 1,129 1,100 (29) -2.6%

Total, A 405,374 396,784 413,393 16,609 4.2%

B. Non-personnel ResourcesTravel and Fellowships

Staff Missions 13,386 14,613 15,721 1,108 7.6%Third-party Travel 22,129 23,429 21,333 (2,096) -8.9%Fellowships 3,475 4,522 4,560 38 0.8%

Sub-total 38,990 42,565 41,614 (950) -2.2%Contractual Services

Conferences 5,993 6,479 8,707 2,228 34.4%Experts' Honoraria 4,237 5,106 6,283 1,177 23.1%Publishing 1,211 1,715 1,618 (98) -5.7%SSA & Commercial Services4 86,365 89,402 110,325 20,923 23.4%

Sub-total 97,806 102,702 126,932 24,230 23.6%Operating Expenses

Premises & Maintenance 51,842 49,935 46,058 (3,876) -7.8%Communication n/a n/a 6,386 n/a n/aRepresentation n/a n/a 1,200 n/a n/aAdmin & Bank Charges n/a n/a 508 n/a n/aUN Joint Services n/a n/a 1,340 n/a n/a[Communication and Other]1 9,869 11,664 n/a n/a n/a

Sub-total 61,711 61,599 55,492 (6,107) -9.9%Equipment and Supplies

Furniture & Equipment 7,648 8,075 4,675 (3,400) -42.1%Supplies & Materials 7,108 6,913 5,324 (1,589) -23.0%

Sub-total 14,756 14,988 9,999 (4,989) -33.3%Total, B 213,263 221,853 234,037 12,184 5.5%

TOTAL 618,637 618,637 647,430 28,793 4.7%POSTS 1,044 1,044 1,104 60 5.7%

Amount %

1 Communication & Other line is applicable for 2010/11, broken down into detailed cost categories in 2012/13. Comparison is therefore provided on the corresponding sub-total level. 2 Consultants and Short-term Employees lines are applicable for 2010/11. The budget corresponding to these categories is included under Short-term Professional and Short-term General Service lines in 2012/13.

3 SSA are shown under Non-personnel Resources in 2010/11 Budget after Transfers and 2012/13 Proposed Budget, due to a change implemented in April 2010. 4 Unallocated Resources are included under Posts and SSA & Commercial Services cost categories.

22. The proposed allocation of expenditure by object of expenditure is shown in the table above, while the proposed allocation of expenditure by Program is shown in Annex I, together with (i) the table illustrating transfers across programs which were made in accordance with Financial Regulation 5.5, and (ii) the table illustrating changes proposed in the program structure from 2010/11 to 2012/13. The proposed allocation of expenditure by Unions is shown in Annex III 23. Program narratives are followed by detailed program budget tables, indicating the proposed budget by result, as well as separately by object of expenditure for 2012/13, together with a comparison of the proposed budget against the Budget after transfers for 2010/11 for the Program. All

18

Financial Overview

Program budget tables provide an indication of the resources included for the implementation of DA projects, and Table 9 provides a comparative overview of the share of development activities by Program for 2010/11 and 2012/13. 24. A number of changes have been introduced to naming and groupings of objects of expenditure, with a view to (i) enabling more granularity in reporting; (ii) preparing for reporting personnel costs in alignment with the contract reform process under way; and (iii) thus providing enhanced transparency and disclosure to both program managers and Member States in reporting on resource utilization. Appendix B provides an overview of the Definition of Budget Headings for further reference. The changes can be summarized as follows:

(a) In previous biennia, Special Service Agreements (SSAs) were treated as part of personnel expenditures. SSAs, however, are a contract form designed to hire independent individuals (contractors) in expert capacity to perform specific time-bound and clearly defined tasks; thus they are not a personnel contract type. Accordingly, these types of costs have been moved from personnel to non-personnel costs.

(b) The category of “Short-term Employees” was used in previous biennia to cover costs of short-term general service employees, as well as a short term professional contract form known as Special Labor Contract (SLC). Another category, known as “WIPO Consultant”, also covered a short term professional contract form in WIPO. In order to streamline these categories and prepare for the alignment with the contract forms which are expected to be introduced under the contract reform process currently under way, the categories of Short-term Professional and Short-term General Service have been introduced under personnel expenditures. The Short-term Professional category covers the current contract forms of SLC and WIPO Consultant, while the Short-term General Service category covers contracts of general service employees on short-term contracts.

(c) The costs covering internships in WIPO have been retained as a personnel cost category. In order to better manage these costs, however, the budget for these has been centralized under HRMD in 2012/13.

(d) Under Non-personnel expenditures, changes have been made to names and/or groupings of objects of expenditure under Contractual Services and under Operating Expenses. The line “Other Contractual Services” has been re-named to clearly indicate that expenditures under this category include SSAs and costs of commercial service providers. Under Operating Expenses, the previously used category of “Communication and Other” was broken down into its constituent parts to better illustrate the types of costs covered by the respective lines, which are Communication, Representation, Administrative and Bank Charges, and UN Joint Services.

PERSONNEL EXPENDITURE 25. Personnel costs are projected to increase by 16.6 million Swiss francs, representing an increase of 4.2 per cent over the 2010/11 Budget. This increase is due to the following key changes:

(a) The impact of re-costing approved posts (standard cost review, which takes into account applicable mandatory ICSC adjustments and common staff costs, contribution to the provision for after service employee benefits, including ASHI, step increases and the impact of re-classifications done in the previous biennium, together with an assumption of a certain vacancy rate and part-time work). In addition, the litigation compensation provisions, provisions of accident insurances and closed pension fund contribution changes are also taken into account. The total impact of re-costing amounts to an increase of 9.2 million Swiss francs;

(b) The impact of re-costing of short-term positions (standard cost review and reflection of re-classifications in the previous biennium), provision for short term conference staff, and the impact of the changes in the number of short-term positions, amounting to a net increase of 1.7 million Swiss francs;

(c) Under personnel costs, an amount of 2.0 million Swiss francs has been earmarked for the regularization of 60 long serving temporary employees performing continuing functions. This is in line with the commitment made by the Director General and endorsed by Member States at

19


their Assemblies in 2010 (reference document WO/CC/63/5), and will result in the utilization of 60 of the 156 posts approved in principle for this purpose. (d) In line with the strategic realignment process, the review of skills and competencies and the appropriate resource structures is a priority for the Organization. As a result, a further amount of 3.5 million Swiss francs has been earmarked for re-classifications to be implemented in the course of 2012/13.

26. It is highlighted that in order to retain overall post costs at a level which is accommodated by the projected income envelope of the Organization, a downward adjustment was made to the percentage applied to post costs for the funding of the provision for after service employee benefits, including ASHI (After Service Health Insurance). The percentage charge against post costs was reduced from 6 per cent in previous biennia to 2 per cent for 2012/13, which has resulted in a budget proposal which is 14 million Swiss francs lower. In view of the fact that this is seen as a short term measure to address the potential risks currently seen in the global economy, which continue to urge the exercise of caution on the base case income envelope projected for 2012/13, the Director General wishes to indicate that a pick-up in the projected income levels would first and foremost be proposed to be utilized to reinstate this provision at the appropriate time. 27. As in previous biennia, it is highlighted that the proposed personnel expenditures for the 2012/13 Budget do not include certain costs, which can not be reliably quantified at this point in time, but the impact of which is likely to bring further upward pressure on personnel costs, to be accommodated later in the biennium. These include (i) any decisions which may be taken by the International Civil Service Commission (ICSC) in the course of 2012/13 in respect of mandatory adjustments to salary scales or other elements of the UN system’s compensation and benefits package; and (ii) the potential additional cost of implementing the human resources contract reform proposal which is now expected to be finalized by the end of 2011. NON-PERSONNEL EXPENDITURE 28. Non-personnel resources are proposed to increase from 221.9 million Swiss francs in 2010/11 to 234.0 million Swiss francs in 2012/13, representing an increase of 12.2 million Swiss francs or 5.5 per cent. This overall increase reflects the following key changes:

(a) With the move of staff from WIPO’s rented buildings to the new building, the premises costs of the Organization will be lower by a net of 5.6 million Swiss francs for the biennium;

(b) The loan approved for the financing of the new building has now been fully drawn down, and the related interest costs, representing 7 million Swiss francs for the biennium have been included in the budget. The approach utilized in the 2010/11 and in previous budgets to record an expense related to the repayment of loan principal was based upon UNSAS which did not permit for the recording of depreciation of fixed assets as expense. Now that WIPO has moved to IPSAS, depreciation of each component of all of WIPO’s buildings will be recorded as an expense in the IPSAS ledger. Since WIPO’s financial statements will no longer be prepared in accordance with UNSAS, the previous approach of treating loan principal repayment as a budgetary expense will be discontinued from 2012/13, which will help to reduce the adjustments required to be reconciled on the Statement of budget to actual comparison (Statement V) and in the note required by IPSAS-24 to reconcile budgetary and IPSAS results.

In light of part of the savings generated above, it is proposed to set up a building maintenance fund as proposed by some Member States in order to ensure that the buildings owned by WIPO have sufficient funds available at all times for necessary maintenance works. The biennial contribution to the fund is intended at a level of up to 1 per cent of the value of premises owned by WIPO and is estimated to be in the range of 2.5 million Swiss francs.

(c) Additional resources are required for the outsourced translation work under the PCT system (5 million Swiss francs). This is made up of (i) an increase of around 3 million Swiss francs in the translation costs of Asian languages abstracts and (ii) increase of around 3 million Swiss francs in the translation costs of Asian languages patentability reports, offset by the decrease of 1 million Swiss francs in the translation costs of European languages (abstracts and patentability reports). The increase in the outsourcing costs of the Asian languages is due

20

Financial Overview

to an increase in the translation workload in Japanese (above 20 per cent), in Chinese (above 200 per cent) and in Korean (above 50 per cent), itself due to an increase in filings in these languages.

(d) There has been under-investment in the maintenance and renewal of core information technology. To address this, increases in expenditure are included to bring the WIPO IT infrastructure and operating systems into the 21st century. Funds are included in this biennial proposed budget for business continuity, upgrade of operating systems software and related office applications together with hosting services to be provided by UN International Computing Centre (UNICC). Furthermore, increased levels of IT support would be required for the additional operational activities and initiatives across WIPO’s programs, such as Global Databases, VIP program, operational systems administrated by the international registration systems.

Owing to the age of the current hardware pool as well as new hardware needs related to the Organization’s evolving operational requirements, a capital replacement program is envisaged to be put forward for consideration by the Member States in the form of reserve project proposal in the range of 5 to 6 million Swiss francs.

(e) Additional resources (1.7 million Swiss francs) have been allocated for safety and security to address the increased safety and security needs due to the completion of the new building.

(f) Increased expenditure (1.3 million Swiss francs) in relation to the WIPO CASE Project involving the development for a common platform for sharing research and examination reports among different groups of countries, particularly Latin American countries and the Vancouver group countries.

(g) Increase by 1.9 million Swiss francs is due primarily to the Visually Impaired Persons and other persons with print disabilities (VIP) and the initiative relating to international creative works databases.

(h) Increase in resources devoted to the Development activities, including the Development Agenda, as illustrated in the section below.

DEVELOPMENT ACTIVITIES AND DEVELOPMENT AGENDA RESOURCES 29. The successful implementation of the DA remains a key priority for the Organization. To this end, a total amount of 6.4 million Swiss francs have been set aside within the proposed budget 2012/13 for the implementation of Development Agenda projects as indicated in Table 8. This table contains:

− Five projects approved by the CDIP for implementation in the biennium 2012/13, namely: "Project on Intellectual Property and Product Branding for Business Development in Developing Countries and Least-Developed Countries (LDCs)”; “Project on Intellectual Property and Socio-Economic Development”; “Project on Intellectual Property and Technology Transfer: Common Challenges – Building Solutions”; Project on “Open Collaborative Projects and IP-Based Models” and “Project on Intellectual Property and Brain Drain”.

− Two projects presented during the last sessions of the CDIP and still under discussion in the Committee namely: Projects on Patents and the Public Domain and Project on South South cooperation on IP and Development among developing countries and LDC’s. The implementation of the projects is subject to the approval of the CDIP.

− A proposed phase two of three projects: "Pilot Project on the Establishment of “Start Up” National Academies", "Developing Tools for Access to Patent Information and "Specialized Databases’ Access and Support". The second phase of these projects is subject to a final evaluation of the initial projects and approval by the Committee.

21


Table 8. Development Agenda Projects - Summary Resource Requirements 2012/13


Number Cost

Patents and Public Domain2 Program 1 - - 128 128

IP and Product Branding for Business Development in Developing Countries and Least-Developed Countries (LDCs)1 Program 9 - - 120 120

South-South Cooperation on IP and Development among Developing Countries and LDCs2 Program 9 1 202 755 958

Pilot Project for the Establishment of “Start-Up” National IP Academies3 Program 11 - - 510 510

Developing Tools for Access to Patent Information3 Program 14 - - 292 292

Specialized Databases’ Access and Support3 Program 14 4 1,006 600 1,606

IP and Socio-Economic Development1 Program 16 1 252 592 844

IP and Brain Drain2 Program 16 1 126 150 276

Program 16 - - 30 30

Program 30 1 161 574 735

IP and Technology Transfer: Common Challenges - Building Solutions1 Program 30 3 300 617 917

Total 11 2,047 4,368 6,415

Reserve funded Development Agenda Projects 7,902

2010/11 Regular Budget funded Development Agenda projects 6,109

Total Resources allocated to Development Agenda projects (since 2009) 20,427

1 Approved by CDIP.2 Subject to CDIP approval. 3 Subject to evaluation of Phase 1 and subject to CDIP approval of Phase 2.

Open Collaborative Projects and IP-Based Models1

2012/13 Total Budget Projects Project PersonnelPrograms

Non-Personnel Total

22

Financial Overview

30. The table below provides details for proposed development expenditure for 2012/13 by program. Expenditure is qualified as development expenditure, only where the beneficiary is a developing country and the equivalent expenditure is not available for developed countries. These amounts exclude foregone revenues resulting from the fee reductions accorded under the international registration systems for applicants from developing countries3. If such expenditure were to be included, the overall figure for development expenditure would be higher.

Table 9. Development Activities in 2012/13 (in thousands of Swiss francs)

Programs (relevant shares of program resources)2010/11

Approved Budget*

2010/11 Budget after transfers*

2012/13 Proposed Budget*

2012/13 Development

Agenda Projects

2012/13 Total w/Development Agenda Projects

1 Patent Law - - 2,953 128 3,081 2 Trademarks, Industrial Designs and Geographical Indications 1,493 2,136 2,486 - 2,486 3 Copyright and Related Rights 5,459 8,476 14,492 - 14,492 4 Traditional Knowledge, Traditional Cultural Expressions and Genetic Resources 6,443 5,959 6,322 - 6,322 5 The PCT System 4,052 2,768 5,453 - 5,453 6 Madrid, and Lisbon Systems 2,368 1,864 4,821 - 4,821 7 Arbitration, Mediation and Domain Names - - 303 - 303 8 Development Agenda Coordination 5,337 5,269 4,788 - 4,788 9 Africa, Arab, Asia and the Pacific, Latin America and the Caribbean Countries, Least

Developed Countries 42,178 35,534 34,024 1,078 35,102

10 Cooperation with Certain Countries in Europe and Asia 6,111 6,460 6,439 - 6,439

11 The WIPO Academy 10,193 9,492 9,822 510 10,332 12 International Classifications and Standards 419 197 1,213 - 1,213 13 Global Databases - 138 1,126 - 1,126 14 Services for Access to Knowledge 1,493 1,224 5,140 1,898 7,038 15 Business Solutions for IP Offices 4,653 5,712 5,221 - 5,221 16 Economics and Statistics 2,236 2,621 359 1,149 1,508 17 Building Respect for IP 2,608 3,017 2,437 - 2,437 18 IP and Global Challenges 4,744 3,914 4,538 - 4,538 19 Communications 11,591 11,877 7,376 - 7,376 20 External Relations, Partnerships and External Offices 2,440 4,840 4,563 - 4,563 21 Executive Management - - 2,102 - 2,102 22 Program and Resource Management - - 605 - 605 26 Internal Oversight - - 1,741 - 1,741 30 SMEs and Innovation 4,729 8,739 9,609 1,652 11,261

TOTAL 118,548 120,236 137,932 6,415 144,347

Resources devoted to development activities as % of total budget 19.2% 19.4% 21.3%

* Excludes Development Agenda project resources

31. In line with the Organization’s focused efforts to improve its planning, tracking and reporting on development activities/expenditure, significant improvements have been introduced in the methodology with which the development share of the budget has been estimated for the biennium 2012/13. The development expenditure definition has ensured that a methodology has been consistently applied during the planning phase. The definition also makes possible the consistent tracking and reporting of development expenditure during the implementation phase. 32. The estimated budget for development activities in 2012/13 by Program has been compiled by applying the above development expenditure definition to Program activities in close consultation with Program Managers. 33. In 2012/13, the Organization will focus on ensuring a more robust tracking of actual development expenditure by expanding the data dimensions in the financial systems. This would result in an improved ability to report to Member States on the actual expenditure against the above estimates for 2012/13. In the long term, with the full implementation of the ERP system, as approved by Member States at their Assemblies in September 2010, both planning, tracking and reporting on the development dimension of WIPO’s activities will become fully integrated into the financial and management systems of the Organization. 3 Consistent with past practice, countries with economies in transition are included for the purpose of the Program and Budget.

23


III. PROGRAM NARRATIVES BY STRATEGIC GOAL

Strategic Goal I: Balanced Evolution of the International Normative Framework for IP Program 1 Patent Law Program 2 Trademarks, Industrial Designs and Geographical Indications Program 3 Copyright and Related Rights Program 4 Traditional Knowledge, Traditional Cultural Expressions and

Genetic Resources

Strategic Goal II: Provision of Premier Global IP Services Program 5 The PCT System Program 6 Madrid, and Lisbon Systems Program 31 The Hague System Program 7 Arbitration, Mediation and Domain Names Strategic Goal III: Facilitating the Use of IP for Development Program 8 Development Agenda Coordination Program 9 Africa, Arab, Asia and the Pacific, Latin America and the Caribbean Countries,

Least Developed Countries Program 10 Cooperation with Certain Countries in Europe and Asia Program 11 The WIPO Academy Program 30 Small and Medium-Sized Enterprises and Innovation Strategic Goal IV: Coordination and Development of Global IP Infrastructure Program 12 International Classifications and Standards Program 13 Global Databases Program 14 Services for Access to Information and Knowledge Program 15 Business Solutions for IP Offices Strategic Goal V: World Reference Source for IP Information and Analysis Program 16 Economics and Statistics Strategic Goal VI: International Cooperation on Building Respect for IP Program 17 Building Respect for IP Strategic Goal VII: Addressing IP in Relation to Global Policy Issues Program 18 IP and Global Challenges Strategic Goal VIII: A Responsive Communications Interface between WIPO, its Member

States and All Stakeholders Program 19 Communications Program 20 External Relations, Partnerships and External Offices Strategic Goal IX: Efficient Administrative and Financial Support Structure to Enable WIPO

to Deliver its Programs Program 21 Executive Management Program 22 Program and Resource Management Program 23 Human Resources Management and Development Program 24 General Support Services Program 25 Information and Communication Technology Program 26 Internal Oversight Program 27 Conference and Language Services Program 28 Safety and Security Program 29 Construction Projects

24

Strategic Goal I

STRATEGIC GOAL I

BALANCED EVOLUTION OF THE INTERNATIONAL NORMATIVE FRAMEWORK FOR IP

This Strategic Goal aims to ensure that the development of international IP law keeps pace with the rapidly evolving global technological, geo-economic, social and cultural environment, while taking into account implementation of the recommendations of the Development Agenda on norm-setting. A balanced evolution is critical to ensuring that the international intellectual property system continues to serve its fundamental purpose of encouraging innovation and creativity; that it takes into account the needs and interests of countries at different stages of development, including through the flexibilities within international IP agreements; and that it strikes the right balance between (i) the rights of creators and IP owners and the rights of users and the public; and (ii) the encouragement of innovation and creativity and the diffusion of the social benefit of innovation and creative works.

Expected Results Performance Indicators Responsible Program(s)

Enhanced cooperation/ greater consensus among Member States on further developing balanced policy and normative frameworks for the international patent system, trademarks, industrial designs, geographical indications, copyright, related rights, TK, TCEs and GRs

Progress on the implementation of SCP agreed steps/plans International agreement on a normative framework for Industrial Designs Progress towards agreement on current issues on the SCT Agenda Conclusions agreed by Member States in each session of the SCCR

Program 1 Program 2 Program 2 Program 3

Progress towards agreement on current issues on the SCCR agenda

Program 3

Progress in the IGC’s negotiations towards development of an international legal instrument(s)

Program 4

Work initiated by the SCT on Geographical Indications (GIs)

Program 2

No. of ratifications/accessions to the Singapore Treaty

Program 2

Increased protection of State emblems and names and emblems of International Intergovernmental Organizations

No. of requests for communication under Article 6ter Paris Convention dealt with No. of signs published in Article 6ter database

Program 2 Program 2

Comprehensive guidelines for the application of Article 6ter

Program 2

Evidence-based decision making on copyright issues

No. of follow-up requests for specific studies or guidance on activities contributing to policy decision

Program 3

No. of countries using WIPO studies on their creative industries for developing creative industry strategies

Program 3

No. of downloads, requests and distribution of WIPO tools for management of copyright in specific creative industries

Program 3

25



Tailored and balanced IP legislative, regulatory and policy frameworks

No. of countries that have initiated legislative reform in the area of copyright and related rights

Program 3

No. of requests for and types of legislative advice related to patents, utility models, trade secrets and integrated circuits including relevant IP flexibilities

Program 1 Program 9 Program 10

No. of countries which found WIPO's legislative advice related to patents, utility models, trade secrets and integrated circuits useful


% of countries which found the provided information concerning the legal principles and practices of the patent system, including the flexibilities existing in the system and the challenges it faces, useful


% of satisfied participants in targeted workshops/seminars held on specific patent-related questions


No. of Member States having received legislative advice in the area of trademarks, industrial designs and geographical indications


No. of countries providing positive feedback on the usefulness of the provided legislative advice in the area of trademarks, industrial designs and geographical indications


No. of countries provided with technical assistance on new or updated legislative frameworks for effective enforcement, taking into account flexibilities in Part III of TRIPS

Program 17 Program 9

26

Strategic Goal I

PROGRAM 1 PATENT LAW PLANNING CONTEXT 1.1. New technologies are developed at an accelerated rate, with profound effect on world markets and on the ability of individuals and nations to participate effectively in the global information economy. Program 1 seeks to support the efforts of Member States to find common ground for normative development of the international patent system and to shape a national patent system that fits their individual circumstances and fosters indigenous innovation; it provides advice and support regarding the Paris Convention, the Budapest Treaty, and the Patent Law Treaty. In the next biennium, it faces a number of challenges:

− The pace of technological change, which poses a challenge to the multilateral normative

process;

− The existence of alternative approaches to norm-setting, outside of the multilateral context;

− A continuing call for background information about the role and impact of the patent system, including flexibilities, to inform the normative process;

− The differential impact of the patent system according to a country’s stage of development, including its development of domestic innovation capacity;

− The tension inherent in public policy choices relating to the appropriate scope and application of the patent system;

− The need for better dissemination of technologies through the patent system;

− Increasing requests for legislative and policy assistance to Member States.

IMPLEMENTATION STRATEGIES AND RISKS 1.2. The normative process being Member States’ driven, the Program will focus its efforts on providing reliable information and supporting an environment conducive to engagement and dialogue among Member States regarding areas of common interest. The Program will continue to improve its responsiveness and efficiency in responding to requests for legislative and policy assistance. Specifically, during the next biennium the Program expects to:

− Organize up to four meetings of the SCP;

− Organize, upon request, informal information meetings for Member State representatives, to provide background on topics related to patent law and policy taking duly into account DA Recommendation 15;

− Continue to provide, upon request, legal advice to Member States relating to patents, utility models, trade secrets, and layout designs of integrated circuits in line with DA Recommendations 17, 20 and 22;

− Continue to inform and assist Member States regarding the Paris Convention, the Budapest Treaty, and the Patent Law Treaty;

− Continue to assist Member States to formulate national IP and innovation strategies and develop institutional IP policies;

− Promote effective and efficient use of patents through providing training and seminars in drafting patent applications;

− Continue to support the work of the Development Sector relating to issues pertinent to this Program, including the provision of studies relevant to DA recommendations 12, 13 and 14. Studies related to DA Recommendations 16 and 20 would be provided within the context of

27


the DA project Patents and the Public Domain, subject to the approval of the CDIP; and

− Continue to work with Programs 2, 3, 4, 5, 7, 8, 9, 10, 11, 12, 13, 14, 15, 16, 18, 20 and 30 on issues pertinent to this Program.

1.3. In its work regarding the normative process, the Program needs to facilitate the work of Member States by providing an impartial, professional and inclusive environment for dialogue among Member States. Regarding its other services, the Program will focus on achieving efficiencies in service delivery and on better use of internal and external partnerships. RESULTS FRAMEWORK

Expected Results Performance Indicators Baselines Targets

Enhanced cooperation/ greater consensus among Member States on further developing balanced policy and normative frameworks for the international patent system, trademarks, industrial designs, geographical indications, copyright and related rights, TK, TCEs and GRs

Progress on the implementation of SCP agreed steps/plans

SCP/15 agreed its future work in five areas (October 15, 2010)

Advancement on issues of common interest at the SCP


No. and types of legislative advice provided to Member States related to patents, utility models, trade secrets and integrated circuits

In 2010, 12 comments were provided to Member States

25 comments on drafts prepared by Member States and 10 draft laws prepared by the Secretariat

% of countries which found WIPO's legislative advice related to patents, utility models, trade secrets and integrated circuits useful

Not available 90%

% of Member States which found the provided information concerning the legal principles and practices of the patent system, including the flexibilities existing in the system and the challenges it faces, useful

Not available 90%

% of satisfied participants in targeted workshops/ seminars held on specific patent-related questions

Not available 90%

28

Strategic Goal I

RESOURCES FOR PROGRAM 1

2010/11 Restated Budget after

tranfers 1

2012/13 Proposed Budget

I.1

Enhanced cooperation / greater consensus among Member States on further developing the policy and legal framework for the international patent system, trademarks, industrial designs, geographical indications, copyright and related rights, TK, TCEs and GRs

3,105

I.4 Tailored and balanced IP legislative, regulatory and policy frameworks 1,611

VII.1

Enhanced understanding among policy makers on the interface between global challenges and innovation and intellectual property as a basis for improved policy decision making

128

Total 4,751 4,843


Expected Result No. and Description

1.4. The figures for 2010/11 Budget under personnel costs represent actual expenditure for 2010 and budgeted amounts based on standard costs for 2011. The budget for 2012/13 is prepared using standard costs for the next biennium. The increase in budgeted amount under Posts for the Program goes beyond the statutory increases incorporated in the standard costs as a result of a lower base in 2010 actual expenditure due to vacancies in the Program. 1.5. The proposed increase under “Staff Missions” is primarily in relation to activities on the Development of Innovation Ecosystems, Legislative and Policy advice and SME’s activities. 1.6. The proposed increase in “Fellowships” is due to the planned advanced regional/sub-regional training programs as part of SME’s activities. 1.7. The proposed increase in “Conferences” is due to the planned Regional Seminars on Patent Related Flexibilities (DA related) as well as various activities related to the area on Innovation and Technology Transfer. 1.8. The proposed increase under “Experts’ Honoraria” is primarily due to (i) studies planned by regional experts on patent related flexibilities as well as the experts working group for the revision of the patent and utility model law for developing countries as part of Patents Legislative and Policy Advice activities, (ii) a number of activities planned as part of Innovation and Technology Transfer, including the DA projects on Open Collaborative Projects and IP-Based Models and IP and Technology Transfer: Common Challenges-Building Solutions, and (iii) experts and lecturers’ assistance for a number of training activities and national and regional forums as part of SME’s activities. 1.9. The proposed increase in “Publishing” is mainly due to activities planned within the Innovation and Technology Transfer area, including the DA projects.

29


Program 1


2010/11 2010/11 2012/13 Difference Approved Restated Budget ProposedBudget after transfers 1 Budget

A. Personnel ResourcesPosts 2,428 3,087 3,107 21 0.7%[Short-term Employees] 134 -- n/a n/a n/aInterns -- 6 -- (6) -100.0%

Total, A 2,563 3,093 3,107 15 0.5%


Staff Missions 106 316 250 (66) -20.9%Third-party Travel 570 794 890 96 12.1%

Sub-total 676 1,110 1,140 30 2.7%Contractual Services

Conferences 280 280 383 103 36.8%Experts' Honoraria -- -- 139 139 naPublishing -- -- 40 40 n/aSSA & Commercial Services 53 223 -- (223) -100.0%

Sub-total 333 503 562 59 11.7%Operating Expenses

Communication n/a n/a 10 n/a n/a[Communication and Other] 10 17 n/a n/a n/a

Sub-total 10 17 10 (7) -41.2%Equipment and Supplies

Furniture & Equipment 14 14 12 (2) -14.3%Supplies & Materials 14 14 12 (2) -14.3%

Sub-total 28 28 24 (4) -14.3%Total, B 1,047 1,658 1,736 78 4.7%

TOTAL 3,610 4,751 4,843 93 2.0%POSTS2 6 8 8 --

Of which:

Development Agenda Project(s)3 200 128 (72) -36.0%

Amount %

1 Restated Budget after transfers reflects:

- the adjusted budget of Programs, following transfers during 2010/11 in line with Financial Regulation 5.5. For additional details on the 2010/11 Budget after Transfers, please refer to Table 10 (Annex I) Budget after Transfers by Program of this document and document WO/PBC/18/14 Program Performance Report for 2010;

- restatements of Program budgets for comparison with the 2012/13 proposed Program structure. For those Programs

where restatements were not required, the Restated Budget after Transfers is equivalent to the Budget after Transfers, as referred to in document WO/PBC/18/14 Program Performance Report for 2010. For more detailed information on the restatements, please refer to Table 11 (Annex I) of this document.

2 For further details on posts for the Program please refer to the Table in Annex II.

3 Includes the project on "Patents and Public Domain", subject to CDIP approval

30

Strategic Goal I

PROGRAM 2 TRADEMARKS, INDUSTRIAL DESIGNS AND GEOGRAPHICAL INDICATIONS

PLANNING CONTEXT 2.1. The subject matter captured by the well-established intellectual property categories of trademarks, industrial designs and geographical indications continues to exceed the traditional boundaries of those specific rights and merge into the much broader concept of “brand”. Brands are symbols that influence consumer behavior, create customer loyalties and function as vehicles for communication. This development is accentuated by the recent proliferation and acceleration of various means of communication and, in particular, the Internet. Brands are regularly the subject of important investment – be it in respect of individually or collectively owned brands. Increasingly, SMEs are using brands and designs as a means for enhancing their competitiveness in a globalized economy. The role of collectively owned brands, such as nation brands or geographical origin based brands is being more and more valued by policy makers and commercial operators alike. There is a crucial link between successful brand building and the intellectual property rights system. A legal infrastructure that is responsive to the needs of the brand owners while balancing out the interests of competitors and the general public is of paramount importance to a flourishing brand industry. The development and maintenance of this legal infrastructure has to be synchronized with the pace of the general social, economic and cultural developments in all Member States. In that respect, an ongoing challenge is to support the efforts of governments to establish a secure and balanced national legal environment and to design development-oriented IP laws that take into account specific national requirements. IMPLEMENTATION STRATEGIES AND RISKS 2.2. WIPO will aim at achieving progress in the development of a balanced international legal framework for trademarks, industrial designs and geographical indications, with outcomes at an appropriate normative level. With regard to a future international regulatory framework for industrial design procedures the WIPO Standing Committee on the Law of Trademarks, Industrial Designs and Geographical Indications (SCT) agreed that, as a possible path to move ahead a diplomatic conference for the adoption of a design law treaty could be convened once sufficient progress has been made and the time was ripe for recommending the holding of such a diplomatic conference. Moreover, WIPO will advance work in the area of trademarks and the Internet, in cooperation with Programs 3 (Copyright and Related Rights), 7 (Arbitration, Mediation and Domain Names) and 17 (Building Respect for IP), and of geographical indications, in cooperation with Program 6 (Madrid and Lisbon Systems). Due consideration will be given to cluster B of the DA Recommendations (Recommendations 15-17 and 20-22) ensuring that account is taken of the different levels of development of WIPO Member States; flexibilities of interest to developing countries and LDCs; the views of all Member States and other stakeholders; and development goals agreed within the UN system. In addition, WIPO will facilitate a better appreciation of the role of brands and branding in a modern economy. WIPO will also deliver the appropriate legal and administrative support to Member States and certain international intergovernmental organizations for the protection of certain of their emblems under Article 6ter of the Paris Convention. 2.3. The implementation of Program 2 will be principally based on regular sessions of the SCT. In line with DA Recommendation 15, sessions of the SCT will be open to all Member States and accepted (governmental and non-governmental) observer organizations. The work of the SCT will be supported by working documents prepared by the Secretariat and presented in all six official languages of the UN. The SCT will present the outcome of its work in appropriate cases to the relevant WIPO Assemblies for further action. 2.4. In the area of branding, the SCT will consider, on the basis of one or several expert studies, as appropriate the concepts of “brand” and “branding”, their interface with conventional categories of intellectual property and their economic significance. This study is expected to constitute a future reference for national policy-making as well as for specific WIPO activities in the area of brands and branding. The Secretariat will continue to ensure the efficient administration of Article 6ter Paris Convention communication procedures and, with a view to facilitating the interpretation of this provision of the Paris Convention, initiate work on the establishment of guidelines for the interpretation

31


of Article 6ter of the Paris Convention, to be recommended by the SCT for adoption of the Paris Union Assembly. As regards Strategic Goal III (Facilitating the Use of IP for Development), Program 2 will provide country specific advice to Member States in accordance with the country-level plans being formulated and in response to priorities identified within their national strategies. Where plans and strategies are still under consideration, advice will be provided upon their request – concerning the establishment of a legal framework for trademarks, industrial designs and geographical indications, that is in compliance with the applicable international normative framework while making fully use of the available flexibilities for the achievement of national development objectives. The provision of legal advice will be coordinated with Programs 9 (Africa, Arab, Asia and the Pacific, Latin America and the Caribbean Countries, Least Developed Countries) and 10 (Cooperation with certain countries in Europe and Asia and Some Mediterranean States) taking duly into account DA Recommendations 1, 6, 12, 13 and 14. In addition, the Program will coordinate with Program 9 and Program 30 to ensure an effective implementation of the DA project on IP and Product Branding for Business Development in developing countries and LDCs. 2.5. The Program will continue to represent the Secretariat, at an appropriate level, in topical meetings organized by Member States, relevant IGOs and NGOs, with the aim of communicating a balanced view of all aspects of its work thereby contributing to a better understanding of the underlying issues. RESULTS FRAMEWORK



International agreement on a normative framework for Industrial Designs Progress towards agreement on current issues on the SCT agenda

No existing international agreement Joint Recommendation Concerning Trademarks on the Internet of 2001

Convening of a Diplomatic Conference for the adoption of an international treaty on the law of industrial designs subject to sufficient progress in the preparatory work SCT agreed outcomes

No. of ratifications/accessions to the Singapore Treaty

No. of ratifications/ accessions at the end of 2011

At least 10 additional ratifications/ accessions to the Singapore Treaty

Work initiated by the SCT on Geographical Indications (GIs)

Status of SCT work on GIs by end 2011

SCT to provide feed-back on an issues paper on GIs


No. of requests for communication under Article 6ter Paris Convention dealt with

No. of requests for communication received in 2010/11

Response to 160 requests from States/IGOs concerning communications under Article 6ter

No. of signs published in Article 6ter database

No. of signs published in Article 6ter database in 2010/11

300 signs published (cumulative)

Comprehensive guidelines for the application of Article 6ter

Guidelines for the application of Article 6ter(1)(b) and (3)(b) of 1992

Adoption of comprehensive guidelines by the Paris Union Assembly



19 (2010) 20 (2011)

Legislative advice provided to 40 Member States and/or Regional Groups of Member States


Data not available 70%

32

Strategic Goal I



tranfers 1


I.1


3,753

I.2 Increased protection of State emblems and names and emblems of International Intergovernmental Organizations 556


Total 5,729 6,053



2.6. The figures for 2010/11 Budget under personnel costs represent actual expenditure for 2010 and budgeted amounts based on standard costs for 2011. The budget for 2012/13 is prepared using standard costs for the next biennium. 2.7. The proposed increase under “Third Party Travel” and “Conferences” is related to the possible Diplomatic Conference for the adoption of an international treaty on the law of industrial designs. 2.8. The proposed decrease under “Experts’ Honoraria” is due to the expected completion in 2010/11 of the trademark-related portion of the DA Project on IP and the Public Domain. 2.9. The proposed increases under “SSAs and Commercial Services” are due to (i) the proposed study on “brands” and “branding” and (ii) effective administration of Article 6ter procedures which will require contractual support services.

33


Program 2



A. Personnel ResourcesPosts 1,808 3,429 3,361 (69) -2.0%Short-term Professional n/a n/a 360 n/a n/aShort-term General Service n/a n/a 213 n/a n/a[Short-term Employees] 168 284 n/a n/a n/aInterns -- 15 -- (15) -100.0%

Total, A 1,976 3,729 3,934 206 5.5%


Staff Missions 240 435 424 (11) -2.6%Third-party Travel 801 852 1,005 153 18.0%

Sub-total 1,041 1,287 1,429 142 11.0%Contractual Services

Conferences 420 376 470 94 24.9%Experts' Honoraria 100 160 -- (160) -100.0%Publishing 50 50 -- (50) -100.0%SSA & Commercial Services -- 77 150 73 93.8%

Sub-total 570 664 620 (44) -6.6%Operating Expenses

Communication n/a n/a 10 n/a n/aRepresentation n/a n/a 5 n/a n/a[Communication and Other] -- 9 n/a n/a n/a

Sub-total -- 9 15 6 59.4%Equipment and Supplies

Furniture & Equipment 20 20 20 -- 0.0%Supplies & Materials 20 20 35 15 75.0%

Sub-total 40 40 55 15 37.5%Total, B 1,651 2,000 2,119 119 5.9%

TOTAL 3,627 5,729 6,053 324 5.7%POSTS2 5 9 9 --

Amount %






34

Strategic Goal I

PROGRAM 3 COPYRIGHT AND RELATED RIGHTS PLANNING CONTEXT 3.1. There is growing realization that in order to face the challenges of copyright in the digital environment, copyright needs to evolve to current technological realities. Greater emphasis also needs to be placed on the exercise and management of rights on the one hand while, on the other hand, ensuring greater access to and sharing of creative works globally. This requires a multi-pronged policy response including law, copyright infrastructure, cultural change, institutional collaboration and better business models. Ensuring the full participation of developing countries and LDCs in the future development of copyright is a critical factor for the strategy to succeed. 3.2. Copyright infrastructure includes identifiers of content and rights, databases containing such information and the organizational framework to ensure their broad accessibility. Such infrastructure needs to meet the aspirations of both stakeholders and Member States. It should also be developed in a business-oriented manner, providing services that are appealing to the creative industries and to users. At the same time, copyright infrastructure needs to respond to developmental concerns and enable Member States to attain public interest objectives in the field of creativity and culture. For a solid copyright infrastructure to develop, the Program must ensure that the approach pursued is balanced, taking into account the different and sometimes disparate interests at stake. IMPLEMENTATION STRATEGIES AND RISKS 3.3. In the 2012/13 biennium, WIPO will seek to address the above challenges on three main fronts:

− Continuation of the well established normative and policy related work;

− Advancing the development of copyright infrastructure;

− Technical assistance to developing countries and LDCs

Normative and policy related work 3.4. In the case of norm setting, a number of studies, seminars and other inputs have already been provided at the request of the Standing Committee on Copyright and Related Rights (SCCR) and good progress is being made in all areas of the agenda. 3.5. With respect to the Protection of Audiovisual Performances, the Committee recommended to the General Assembly to resume the suspended 2000 Diplomatic Conference on the protection of audiovisual performances. Concerning the Protection of Broadcasting Organizations, the Committee agreed to maintain the momentum regarding a draft treaty on the protection of broadcasting organizations and cablecasting organizations in the traditional sense and to continue discussions on a signal-based approach consistent with the 2007 General Assembly mandate. As to limitations and exceptions, recognizing the need to advance the more mature areas, the Committee will undertake text based work with the objective of reaching agreement on appropriate exceptions and limitations for persons with print disabilities and other reading disabilities. In a similar manner, the Committee will undertake text-based work on appropriate exceptions and limitations for libraries, archives, educational, teaching and research institutions, and persons with other disabilities. Moreover, the Committee recommended to the WIPO General Assembly that Members of the Committee continue discussions regarding the Chair’s document SCCR/22/16 on an international instrument on limitations and exceptions for persons with print disabilities with the aim to agree and finalize a proposal on that international instrument in the 23rd session of the SCCR to be held in November 2011, in accordance with the timetable adopted at the 21st session of the SCCR.

3.6. The Secretariat will continue to facilitate progress in the discussions, including the possibility of convening a diplomatic conference for both broadcasting as well as exceptions and limitations. In addition, the Secretariat will continue to promote the benefits of the WIPO Copyright Treaty (WCT) and the WIPO Performances and Phonograms Treaty (WPPT) and will assist countries in updating their national legislation on request.

35


3.7. The Program will continue to examine key areas where collaboration between Governments and stakeholders could lead to pragmatic solutions. These include the role and responsibility of Internet Intermediaries; the development of licensing models, in line with DA Recommendations 21, 22 and 23, specifically adapted to the requirements of UN agencies in the digital environment; proposals for contractual guidelines in strategic sectors of the creative industries; and, the enhancement of collaborative policies in the music industry, and in IP and sports, that might facilitate the management of copyright and related rights in the digital environment. The measures available for such targeted interventions include platforms for dialogue among stakeholders, and studies and surveys. 3.8. Priority will be given to the provision of balanced information in specific papers on the WIPO web site as well as through the organization of meetings and workshops for decision makers, policy advisers and heads of national copyright offices on issues of particular relevance and importance to them. Advancing the development of copyright infrastructure 3.9. Copyright infrastructure development, in both its Information Communication Technology (ICT) and organizational contexts, is necessary if developing countries are to share in the growth of creative industries in the online environment where rights management and licensing are critical. Infrastructure development is central to efforts being made by developing countries and LDCs to exploit the economic potential of copyright industries. 3.10. Enhancing the performance and networking of copyright Collective Management Organizations (CMOs) (Recommendation 10) will continue to provide selected CMOs with a series of tools to enable the establishment of a common digital collective management platform. By standardizing and expediting information exchange between the CMOs and the rest of the world for the identification of works and relevant interested parties, the distribution of royalties can be carried out in a fair, equitable and balanced way and in a timely and efficient manner taking into account the economic interest of the countries concerned. This project has the potential to propel a number of developing countries into participating in the growing economic benefits of the global music industry. 3.11. The full potential of these activities will only be realized when they are linked to a repository system that allows for the exchange of repertoire data at the international level, which can become a key tool for facilitating licensing in the digital marketplace. In order to examine these issues more carefully, WIPO is facilitating a stakeholder dialogue comprising a broad spectrum of representatives from the music sector engaged in the discussion related to an International Music Registry (IMR). 3.12. In addition, efforts will continue to be made in the biennium to modernize and automate Copyright Offices. 3.13. Support for the development of the Stakeholders’ Platform for Visually Impaired Persons and other persons with print disabilities (VIP) will continue. The Trusted Intermediary Global Accessible Resources (TIGAR) system network will be fully established. The work being undertaken in the Stakeholders’ Platform VIP Initiative needs to attract the support of relevant interest groups while advancing strong partnership among stakeholders in a pragmatic and cost effective way as technical solutions are developed by WIPO and business models emerge among the Trusted Intermediaries. 3.14. The progress of the VIP activities could be affected by various concerns and priorities of VIP stakeholder platform participants. Regular and focused liaison and consultation should address issues raised by stakeholders at the earliest stage possible. Technical assistance to developing countries and LDCs 3.15. In providing technical assistance to Member States emphasis will be placed on linking IP to national development strategies; improvement in legal and regulatory systems; enhancement of national infrastructure for the benefit of the creative industries; and, consistent support for building human capacity in the area of copyright and related rights. 3.16. The delivery of technical and infrastructure assistance in the area of copyright and related rights needs to be sharply focused and properly aligned with the necessary training, monitoring and effective

36

Strategic Goal I

follow-up. The focus in the biennium will be on quantitative delivery taking duly into account DA recommendations 1, 6, 12 to 17, 19 and 20 while there would also be an emphasis on qualitative improvements. This will require prioritization and improved planning within the Organization (guided by national IP strategies) and close cooperation with Programs 9 and 10 while increasing the level of outsourcing to competent individuals. RESULTS FRAMEWORK



Conclusions agreed by Member States in each session of the SCCR Progress towards agreement on current issues on the SCCR agenda

Conclusions reached in SCCR sessions during 2010-11 biennium (3) (March 2011) WCT, WPPT (1996), Rome Convention (1961) (March 2011)

Conclusions reached in all SCCR sessions during 2012/13 biennium International instruments concluded on exceptions and limitations, broadcasting and audiovisual performances

Evidence-based decision making on copyright issues

No. of follow-up requests for specific studies or guidance on activities contributing to policy decision

Six by February 2011 15 (in 2012/13)

No. of countries using WIPO studies on their creative industries for developing creative industry strategies

Three countries 10 countries (cumulative)

No. of downloads, requests and distribution of WIPO tools for management of copyright in specific creative industries

tbd Increase in downloads, 10 requests, over 500 copies distributed (in 2012/13)


No. of countries that have initiated legislative reform in the area of copyright and related rights

19 countries received WIPO legislative advice in 2010/11 (March 2011)

18 countries

Enhanced human resource capacities able to deal with the broad range of requirements for the effective use of IP for development in developing countries, LDCs and countries with economies in transition

% of participants’ positive rating of the usefulness of copyright related capacity building workshops % of participants’ rating of usefulness of copyright related workshops and practical use of knowledge six months after the workshop

tbd tbd

70% agree or strongly agree 70%

No. of national copyright and related rights initiatives started directly related to the themes of workshops

tbd Average 50% of countries participating in workshop

Enhanced access to, and use of, IP information and knowledge by IP institutions and the public to promote innovation and increased access to protected creative works and creative works in the public domain

No. of trusted intermediaries (TIs) and rights holders (RHs) having joined the TIGAR system network, including from developing countries and LDCs No. of copyright protected works distributed among TIs and made accessible to VIPs across borders through the TIGAR system network

Four TIs and three RHs Not yet started

10 new TIs and four new RHs (in 2012/13) The availability of at least 300 books or titles (cumulative)

37



Enhanced technical and knowledge infrastructure for IP Offices and other IP institutions leading to better services (cheaper, faster, higher quality) to their stakeholders

No. of Institutions using WIPO copyright infrastructure systems (WIPOCOS and GDA)

20 CMOs equipped with WIPOCOS (end 2011) Eight Copyright Offices using GDA (end 2011)

40 CMOs equipped with WIPOCOS (cumulative) 15 Copyright Offices using GDA (cumulative)

% of Governments that report positively on the effectiveness and governance of copyright institutions in the country

tdb 80% of countries that requested and received technical assistance in this area



tranfers 1


I.1


3,364

I.3 Evidence-based decision making on copyright issues 2,754


III.2

Enhanced human resources capacities able to deal with the broad range of requirements for the effective use of IP for development in developing countries, LDCs and countries with economies in transition

3,475

IV.2


3,595

IV.5Enhanced technical and knowledge infrastructure for IP Offices and other IP institutions leading to better services (cheaper, faster, higher quality) to their stakeholders

3,673

Total 16,040 18,593



3.17. The figures for 2010/11 Budget under personnel costs represent actual expenditure for 2010 and budgeted amounts based on standard costs for 2011. The budget for 2012/13 is prepared using standard costs for the next biennium. The increase in budgeted amount under Posts for the Program goes beyond the statutory increases incorporated in the standard costs as a result of a lower base in 2010 actual expenditure due to vacancies in the Program. 3.18. The proposed increases in non-personnel resources under “Third-party travel” and “Conferences” are primarily related to the increase in the length of, and interpretation services for the SCCR. 3.19. The proposed increase in “Experts’ Honoraria” relates to the planned increase in the number of expert missions undertaken in respect of the establishment/strengthening of national copyright offices and expansion of WIPOCOS activities.

38

Strategic Goal I

3.20. The development and provision of updated information materials on copyright and related rights for developing countries and LDCs has led to an increase in the proposed resources for “Publishing”. 3.21. Proposed increases in “SSA and Commercial Services”, as well as in “Equipment and Supplies”, are due primarily to the Visually Impaired Persons and other persons with print disabilities (VIP) initiative and activities related to the international databases for creative works.

Program 3



A. Personnel ResourcesPosts 8,581 9,009 9,698 689 7.6%Short-term Professional n/a n/a 295 n/a n/aShort-term General Service n/a n/a 874 n/a n/a[Consultants] 269 215 n/a n/a n/a[Short-term Employees] 883 948 n/a n/a n/aInterns -- 52 -- (52) -100.0%

Total, A 9,733 10,224 10,866 642 6.3%


Staff Missions 992 1,385 1,185 (200) -14.5%Third-party Travel 390 1,359 1,739 380 28.0%Fellowships 655 1,126 630 (496) -44.0%


Conferences 385 507 1,035 528 104.3%Experts' Honoraria 326 549 859 310 56.4%Publishing 30 40 205 165 408.7%SSA & Commercial Services 100 705 1,514 809 114.7%

Sub-total 841 1,801 3,613 1,812 100.6%Operating Expenses

Premises & Maintenance 10 -- -- -- n/aCommunication n/a n/a 10 n/a n/aRepresentation n/a n/a 90 n/a n/a[Communication and Other] 155 124 n/a n/a n/a


Furniture & Equipment 25 14 435 421 3007.1%Supplies & Materials 12 8 25 18 233.3%

Sub-total 37 22 460 439 2039.5%Total, B 3,080 5,816 7,727 1,911 32.9%

TOTAL 12,813 16,040 18,593 2,554 16%POSTS2 20 23 23 --

Amount %






39


Fund-in-Trust Resources Potentially Available for Programming in 2012/13*

(in thousands of Swiss francs)**

Program Projected Balance end 2011

Estimated Contributions

2012/13***

Estimated Available for Programming in

2012/13****

Program 3 830 2,198 3,028

* For information only. For further details please refer to Annex V. ** The figures do not include interest and exchange rate adjustments. It should also be noted that these funds generally provide for activities spanning a period of time exceeding or overlapping a single biennium, as income is received and expenditure incurred. *** Annual contributions vary and fluctuations have been observed from one year to another. **** This figure is purely indicative and is based on previous funding patterns. It does not represent Member States’ commitments except in those cases where the FIT Agreement includes such a commitment.

40

Strategic Goal I

PROGRAM 4 TRADITIONAL KNOWLEDGE, TRADITIONAL CULTURAL EXPRESSIONS AND GENETIC RESOURCES PLANNING CONTEXT 4.1. This Program aims at enhancing effective use of IP principles and systems for the legal protection of traditional knowledge (TK) and traditional cultural expressions (TCEs), and the clarification of the contribution of IP to the conservation, sustainable use and equitable benefit-sharing in genetic resources (GRs). Achieving these objectives would benefit Member States and indigenous and local communities economically, technologically and culturally, and, in line with the DA, enhance the capacity of developing countries and LDCs to benefit from the knowledge economy through the use of IP. 4.2. The Program addresses a complex array of legal, policy, technological and operational issues, amidst high expectations for concrete outcomes from within a wide range of stakeholders with diverse interests. There continue to be divergent views on core substantive questions such as the scope of subject matter to be protected and beneficiaries of protection, as well as on the legal status of any such outcomes. International outcomes depend on consensus among Member States and on developments in certain other fora. A further challenge relates to participation and representation, as Indigenous and local communities face major constraints in defining and protecting their IP-related interests. 4.3. Against the backdrop of these objectives and challenges, this Program facilitates text-based negotiations towards reaching consensus on the text of an international legal instrument (or instruments) on TK, TCEs and GRs, and, upon request, supports work on practical mechanisms to contribute towards the protection of TK and TCEs and regulation of the interface between IP and GRs. Practical mechanisms, such as appropriate voluntary databases and registries, can provide a technical infrastructure which complements the legal infrastructure created by legislation. Such practical assistance also encompasses specialized capacity-building, training and legal-technical assistance at local, national and regional levels. 4.4. The international negotiations take place within the Intergovernmental Committee on Intellectual Property and Genetic Resources, Traditional Knowledge and Folklore (the IGC). At its 19th session in July 2011, the ICG recommended that the WIPO General Assembly in September 2011 renew its mandate for the 2012/13 biennium. In terms of the proposed new mandate, the ICG would be requested to submit to the 2012 General Assembly the text(s) of an international legal instrument(s) which will ensure the effective protection of genetic resources, traditional knowledge and traditional cultural expressions. The 2012 General Assembly would “take stock of and consider the text(s), progress made and decide on convening a Diplomatic Conference, and will consider the need for additional meetings, taking account of the budgetary process”. In the event that the General Assembly in September 2012 decides to convene a Diplomatic Conference, such a Conference might take place in the 2012/13 biennium and be preceded by additional meetings and preparatory negotiations. The 2012/13 biennium will, therefore, see continued international negotiations and an ancillary need for complementary practical support and capacity-building, including for the effective implementation in national and regional systems of any international instruments that may be adopted. The successful conclusion of the IGC’s negotiations will ensure the fulfillment of the aims of DA Recommendation (18). IMPLEMENTATION STRATEGIES AND RISKS 4.5. As a Member State-driven process, progress towards international outcomes is largely dependent on decisions by Member States and, to a certain extent, developments in other fora. However, the WIPO Secretariat aims to play a supportive and facilitative role. The results of the Program should therefore include, first, an environment conducive to improved communication, understanding and cooperation among Member States, which could lead to the adoption of an international legal instrument(s). A second result would be greater understanding among States and communities of how, in practice, IP can contribute to the effective protection of TK and TCEs and to the conservation, sustainable use and equitable benefit-sharing in GRs, leading to enhanced capacity to use IP principles and systems in these contexts.

41


4.6. This Program contributes directly and explicitly to development and to the attainment of the Development Agenda’s Recommendations. Generally, the Expected Results will be achieved through continued application of the relevant Recommendations of the DA, notably ensuring that technical assistance is development-oriented and demand-driven (Recommendations 1 and 12) and that normative work in the IGC remains inclusive, member-driven and participatory (Recommendations 15, 21 and 42) and takes into account the public domain (Recommendations 16 and 20). The Expected Results will also be achieved through cooperation and coordination with other WIPO Programs, especially Program 1 (Patent Law), Program 3 (Copyright and Related Rights), Program 7 (Arbitration, Mediation and Domain Names), Program 8 (Development Agenda Coordination), Program 9 (Africa, Arab, Asia and the Pacific, Latin America and the Caribbean Countries, and Least Developed Countries), Program 10 (Certain Countries in Europe and Asia), Program 14 (Services for Access to Information and Knowledge), Program 18 (IP and Global Challenges) and Program 30 (SMEs and Innovation). 4.7. More specifically, and in addressing the objectives, challenges and issues set out above, the Program will seek to implement the following three inter-related and complementary strategies:

− Creation of an environment conducive to consensus-reaching by Member States through, for example, provision of substantive and administrative support for a possible Diplomatic Conference, negotiations of the IGC and associated inter-sessional working groups and consultations at the international, regional and national levels; consolidation of initiatives aimed at enhancing the effective participation of representatives of indigenous and local communities in WIPO’s work, including logistical management of the WIPO Voluntary Fund for Accredited Indigenous and Local Communities; and, close coordination and cooperation with other intergovernmental organizations and forums;

− Enhancing understanding among States and communities of how, in practice, IP can contribute to the effective protection of TK and TCEs and to the conservation, sustainable use and equitable benefit-sharing in GRs through, for example, development and application, on request, of a streamlined and integrated suite of relevant and effective practical resources, programs, and tools; and,

− Establishment of ICT and other infrastructure at the national, regional and international levels, such as databases, traditional knowledge digital libraries (TKDLs), inventories, registers and other platforms, to complement legal and policy frameworks that States and communities may develop.

4.8. The main risk that the IGC’s negotiations face is the uncertainty over progress resulting from Member States’ efforts to reach agreement on the content and/or legal status of international legal instrument(s). Developments in other fora may also impact progress towards concrete outcomes in the IGC. While these factors are external to the sphere of influence of the WIPO Secretariat, the Secretariat will do all it can within the scope of its resources to facilitate and support the negotiations. RESULTS FRAMEWORK



Progress in the IGC’s negotiations towards development of an international legal instrument(s)

Negotiations underway under IGC mandate for 2010/11

Adoption of an international legal instrument(s)

42

Strategic Goal I



% of participants in WIPO capacity-building activities which report enhanced capacity to understand and use IP principles, systems and tools or the protection of TK and TCEs, and for management of the relationship between IP and GRs

First time this Performance Indicator has been used in this Program

75%

Recognition by Member States, communities, organizations and other stakeholders of the relevance and effectiveness of WIPO’s resources, programs and tools

No. of requests received for WIPO’s assistance

60 (2010/11) 60 (in 2012/13)



tranfers 1


I.1


5,034

III.2


2,121

III.9Recognition by Member States, communities, organizations and other stakeholders of the relevance and effectiveness of WIPO’s resources, programs and tools

825

Total 6,621 7,980



4.9. The figures for 2010/11 Budget under personnel costs represent actual expenditure for 2010 and budgeted amounts based on standard costs for 2011. The budget for 2012/13 is prepared using standard costs for the next biennium. The increase in budgeted amount under Posts for Program goes beyond the statutory increases incorporated in the standard costs due to the transfers during the course of 2010/11. 4.10. The proposed increases in non personnel resources under the Program, mainly under “Staff Missions” and “Conferences” are primarily linked to the provisions made for a possible Diplomatic Conference during the 2012/13 biennium. The increased resources requirement related to “Equipment and Supplies” relate to the possible traditional knowledge digital libraries (TKDLs) project. Reductions have been made across several other budget cost categories to align with the expenditure patterns of the current biennium.

43


Program 4



A. Personnel ResourcesPosts 3,523 2,541 2,719 179 7.0%Short-term Professional n/a n/a 601 n/a n/aShort-term General Service n/a n/a 680 n/a n/a[Consultants] -- 218 n/a n/a n/a[Short-term Employees] 749 987 n/a n/a n/aInterns 48 48 -- (48) -100.0%

Total, A 4,320 3,794 4,000 206 5.4%


Staff Missions 150 174 601 427 245.4%Third-party Travel 1,776 1,732 1,595 (137) -7.9%Fellowships 124 124 110 (14) -11.3%

Sub-total 2,050 2,030 2,306 276 13.6%Contractual Services

Conferences 500 500 1,315 815 163.0%Experts' Honoraria 52 52 10 (42) -80.8%Publishing 38 38 40 2 5.3%SSA & Commercial Services 175 175 145 (30) -17.1%

Sub-total 765 765 1,510 745 97.4%Operating Expenses

Communication n/a n/a 15 n/a n/aRepresentation n/a n/a 4 n/a n/a[Communication and Other] 10 18 n/a n/a n/a

Sub-total 10 18 19 1 5.6%Equipment and Supplies

Furniture & Equipment -- -- 130 130 n/aSupplies & Materials 14 14 15 1 7.1%

Sub-total 14 14 145 131 935.7%Total, B 2,839 2,827 3,980 1,153 40.8%

TOTAL 7,159 6,621 7,980 1,359 20.5%POSTS2 9 6 6 --

Amount %






44

Strategic Goal II

STRATEGIC GOAL II

PROVISION OF PREMIER GLOBAL IP SERVICES

This Strategic Goal addresses the core services of WIPO, which are also the income-generating businesses of the Organization. The aim is to make WIPO’s global systems and alternative dispute resolution services the systems of first choice for users through attractive, cost-effective services which provide added value for users.


Informed strategic use of the PCT by all innovators who could benefit from it

PCT filings Share of PCT national phase entries in total international patent filings

Program 5

Program 5

Stronger relationships with PCT users and Offices Satisfaction of Offices and International Authorities with PCT cooperative activities

Program 5

Meaningful contact with PCT users Program 5

Increased feedback from PCT users on overall system performance

Program 5

Enhancement of overall PCT system Further progress towards implementation of the recommendations endorsed by the PCT Working Group in 2010 on how to improve the functioning of the PCT, relating to the following six groups of issues: (i) backlogs; improving quality of granted patents; (ii) timeliness in the international phase; (iii) quality of international search and preliminary examination; (iv) incentives for applicants to use the system efficiently; skills and manpower shortages; (v) cost and other accessibility issues; consistency and availability of safeguards; (vi) technical assistance; PCT information and technology transfer.

Program 5

Enhanced IB operations (see Annex VI) Unit cost of processing an application Program 5

Productivity of formality examination Program 5

Quality of formality examination Program 5

Timeliness of formality examination (% accomplished within 3 weeks from receipt)

Program 5

Timeliness of publication (% published within 18 months + three weeks from priority date)

Program 5

Quality of translation (% that pass quality check) Program 5

Filings at the IB as Receiving Office Program 5

Better use of the Madrid and Lisbon systems, including by developing countries and LDCs

No of new registrations (Madrid system) Program 6

No of renewals (Madrid system) Program 6

% of irregularity letters compared to total number of applications received (Madrid system)

Program 6

% of international applications from developing countries and LDCs (Madrid system)

Program 6

No. of Contracting Parties to the Madrid Protocol Program 6

No. of Contracting Parties to the Lisbon Agreement Program 6

No. of international registrations in force under the Lisbon system concerning appellations of origin from developing countries and LDCs

Program 6

45



Better operations of the Madrid and Lisbon systems

Average processing time of new applications without irregularities (Madrid system)

Program 6

No. of Offices sending applications in XLM format and receiving designations in XLM format (Madrid system)

Program 6

% of documents received electronically (Madrid system)

Program 6

No. of clients receiving email notifications (Madrid system)

Program 6

No. of clients using Portfolio manager (Madrid system)

Program 6

No. of fully automated processes (Madrid system) Program 6

% of corrections inscribed compared to the total of operations inscribed (with the exception of refusals and final decisions) (Madrid system)

Program 6

Establishment of an automated International Register (Lisbon system)

Program 6

Increased number of competent authorities using electronic means of communication under Lisbon procedures

Program 6

Adoption of provisions streamlining or modernizing the Lisbon system legal framework

Program 6

Increased awareness of the Madrid and Lisbon systems

% of participants in Madrid system related events who are satisfied and report enhanced awareness post training event

Program 6

% of participants in Lisbon system related events who are satisfied and report enhanced awareness post seminars/workshops

Program 6

Increased awareness of the Hague system No. of first-time applicants Program 31

No. of languages in which general information is available

Program 31

No. of national or regional offices providing adequate information on the Hague system

Program 31

Wider and better use of the Hague system No. of registrations, designs contained in registrations, renewals and other recordings

Program 31

No. of applications from, and designations of, developing countries and LDCs

Program 31

% of irregular applications Program 31

Better administration of the Hague system Predominance of the Geneva Act in the system as a whole system

Program 31

Pendency for a regular non-deferred application, until publication

Program 31

No. of fully automated processes Program 31

% of requests filed through electronic interfaces Program 31

% of users satisfied with the services provided by the International Bureau

Program 31

International and domestic intellectual property disputes are increasingly prevented or resolved through mediation, arbitration and other alternative dispute resolution methods

Increased consideration of the use of alternative dispute resolution services in intellectual property transactions, including through the use of WIPO procedures

Program 7

Alternative dispute resolution policies to the development and implementation of which policies the Center has contributed

Program 7

Effective intellectual property protection in the gTLDs and the ccTLDs

No. of gTLD UDRP cases administered Program 7

No. of ccTLD UDRP-based cases administered Program 7

46

Strategic Goal II


Dispute resolution policies in the Domain Name System to the development and implementation of which policies the Center has contributed

Program 7

No. of ccTLD administrators with WIPO-assisted design or administration of intellectual property protection mechanisms in accordance with international standards

Program 7

47


PROGRAM 5 THE PCT SYSTEM PLANNING CONTEXT 5.1. The PCT system accounts for over 70 per cent of WIPO’s income. Necessarily, the vast majority of program expenditures are allocated to operating it. However, to maintain and reinforce the PCT as the preferred route for users of the international patent system in the next biennium, it will be necessary to ensure that Program 5 meets the challenges of an increasingly dynamic global market for patent services, characterized by:

− Concerns over quality and timeliness of international reports;

− Financial stresses of applicants and national Offices;

− Continuing or growing backlogs of unexamined applications in national Offices;

− Increasingly diverse geographical composition of patent protection;

− Increasing linguistic diversity of prior art;

− Limited participation in the PCT by most developing and least developed countries;

− The need to promote technological innovation and the transfer and dissemination of technology , particularly in least developed and developing countries;

− Increasing need for PCT technical assistance and capacity building for developing and least developed countries;

− Growing demands from existing and new PCT users for training;

− Variation in how, and the extent to which, customers use the PCT over other methods;

− Availability of new information and communication technologies IMPLEMENTATION STRATEGIES AND RISKS 5.2. The participation of all contracting parties and stakeholders – such as Member states, Offices and International Authorities, applicants and third parties, intergovernmental and nongovernmental organizations – is crucial for the optimum functioning of the PCT system. Therefore, the Program will focus on communication and cooperation among stakeholders. The following implementation strategies will be pursued:

− Support efforts by the International Authorities to improve the quality and timeliness of their work products, including the development of quality metrics and investigation of collaborative search and examination of PCT applications;

− Continue to study ways to improve the PCT system, while implementing the specific measures approved by the Member States in 2010;

− Study existing PCT fee structures to inform specific proposals;

− Increase coordination with Programs 9, 10, 12, 13 and 14, concerning PCT technical assistance and capacity building for developing countries and LDCs taking duly into account DA Recommendations 1, 6 and 10;

− Increase focus on marketing the PCT to under-utilizing actual and potential customers;

− Enhance communications with all PCT stakeholders, through surveys and other outreach to identify needs and to improve effectiveness of PCT service;

− Deliver training to more PCT users, employing technological methods such as webinars and video conferencing;

48

Strategic Goal II

− Streamline preparation and dissemination of PCT information;

− Introduce technologies to improve PCT user experience, including a centralized interactive “ePCT system” and computer-assisted translation tools;

− Continue adjustments to staff composition and overall resource allocation to align with changing geographical patterns in PCT demand;

− Continue to study and implement cost control and efficiency measures within PCT operations, including outsourcing arrangements to improve the quality and cost of translations.

5.3. The success of much of this work will depend on the circumstances, input and decisions of the Member States and other stakeholders; therefore, the ability of the International Bureau to influence outcomes is necessarily limited. The International Bureau will attempt to mitigate those risks through careful attention to dynamic market conditions, close formal and informal consultations with stakeholders, and responsive actions as appropriate. Another risk lies in not having sufficient human resource capacity to respond to the emerging, aggregate needs of PCT users and other stakeholders and at the same time achieve the remaining expected results. The International Bureau attempt to mitigate that risk through close communication with stakeholders and a cooperative internal planning environment. RESULTS FRAMEWORK


Informed strategic use of the PCT by all innovators who could benefit from it

PCT filings PCT filings (2011) PCT filings for the current year as forecast

Share of PCT national phase entries in total international patent filings

Share of PCT national phase entries in international patent filings (end 2011)

Increased share of PCT national phase entries in international patent filings

Stronger relationships with PCT users and Offices

Satisfaction of Offices and International Authorities with PCT cooperative activities

30 Offices and International Authorities expressed satisfaction with PCT cooperative activities (2010) (i.e. 91% out of 33 who benefitted from PCT cooperative activities and 46% out of the total 65 respondents)

Maintain the 2010 level of satisfaction of Offices and International Authorities

Meaningful contact with PCT users Tbd by the end of 2011 Regular contacts with

high-volume PCT users

Increased feedback from PCT users on overall system performance

Tbd by the end of 2011 Informal requests for feedback in every user contact

49



Enhancement of overall PCT system

Further progress towards implementation of the recommendations endorsed by the PCT Working Group in 2010 on how to improve the functioning of the PCT, relating to the following six groups of issues: (i) backlogs; improving quality of granted patents; (ii) timeliness in the international phase; (iii) quality of international search and preliminary examination; (iv) incentives for applicants to use the system efficiently; skills and manpower shortages; (v) cost and other accessibility issues; consistency and availability of safeguards; (vi) technical assistance; PCT information and technology transfer.

Decisions by appropriate PCT bodies in 2011

Decisions by appropriate PCT bodies in 2013

Enhanced IB operations (see Annex VI)

Unit cost of processing an application

Unit cost in 2011 Improvement over the biennium

Productivity of formality examination Productivity in 2011 Improvement over the biennium

Quality of formality examination Average of last three years

90% (average of last three years)

Timeliness of formality examination (% accomplished within 3 weeks from receipt)

Average of last three years

80% (average over last three years)

Timeliness of publication (% published within 18 months + three weeks from priority date)

Average of last three years

96% (average over last three years)

Quality of translation (% that pass quality check)

Quality level in 2011 87%

Filings at the IB as Receiving Office Filings in 2011 9,700 (2012) 10,100 (2013)

50

Strategic Goal II



tranfers 1


II.1 Informed strategic use of the PCT by all innovators who could potentially benefit from it 6,380

II.2 Stronger relationships with PCT users and Offices 16,897

II.3 Enhancement of overall PCT system 3,225

II.4 Enhanced IB operations 152,098

Total 173,824 178,600



5.4. The figures for 2010/11 Budget under personnel costs represent actual expenditure for 2010 and budgeted amounts based on standard costs for 2011. The budget for 2012/13 is prepared using standard costs for the next biennium. While the statutory increases have been taken into account, the combination of the reduction of number of posts and the lower base in 2010 actual expenditure due to vacancies in the Program resulted in a slight increase in budgeted amount under Posts. 5.5. The proposed increases under “SSA and Commercial Services” are primarily for PCT translation services, where additional resources are required for the outsourced translation work, in particular, as regards Asian languages. The translation workload, in particular, for the Japanese, Chinese and Korean languages is estimated to increase. 5.6. The proposed decreases under “Furniture and Equipment” reflect the fact that during the 2010/11 biennium, servers, databases, licenses and disk space were purchased and PCT applications and external and internal systems were moved to the new servers. 5.7. The proposed increases under “Supplies and Materials” are primarily due to activities in the processing and IT areas of PCT. PCT processing area dispatches on average 4000 mail items (covering all sorts of media) to PCT applicants and IP offices per day. PCT’s IT costs cover the cost of existing and new software licenses and services that would enable additional functionality in the ePCT system, improved disaster recovery capabilities, and improvements in business intelligence and application testing capabilities.

51


Program 5



A. Personnel ResourcesPosts 111,228 104,725 106,365 1,640 1.6%Short-term Professional n/a n/a 1,594 n/a n/aShort-term General Service n/a n/a 10,745 n/a n/a[Consultants] 1,614 1,475 n/a n/a n/a[Short-term Employees] 14,705 12,182 n/a n/a n/aInterns -- 19 -- (19) -100.0%

Total, A 127,546 118,401 118,705 304 0.3%


Staff Missions 1680 2,054 2,037 (17) -0.8%Third-party Travel 3150 3,271 2,956 (315) -9.6%Fellowships -- 600 848 248 n/a


Conferences 125 215 265 50 23.3%Experts' Honoraria 60 60 90 30 50.0%Publishing 50 80 30 (50) -62.5%SSA & Commercial Services 44,726 43,006 48,734 5,728 13.3%


Premises & Maintenance 40 40 30 (10) -25.0%Communication n/a n/a 1,900 n/a n/aRepresentation n/a n/a 30 n/a n/a[Communication and Other] 2,315 2,289 n/a n/a n/a

Sub-total 2,355 2,329 1,960 (369) -15.8%Equipment and Supplies

Furniture & Equipment 2025 1,985 765 (1,220) -61.5%Supplies & Materials 2030 1,824 2,210 386 21.2%

Sub-total 4,055 3,809 2,975 (834) -21.9%Total, B 56,201 55,424 59,895 4,471 8.1%

TOTAL 183,748 173,824 178,600 4,775 2.7%POSTS2 360 347 345 (2)

Amount %






52

Strategic Goal II

PROGRAM 6 MADRID AND LISBON SYSTEMS A. MADRID SYSTEM PLANNING CONTEXT 6.1. Since 2011 there is an expectancy of continuous growth and increased use of the Madrid system, both in terms of increased number of international applications filed through the system as well as an expansion of its geographical scope. While a worldwide economic recovery seems to be underway, the strength and pace of this recovery, and its sustainability, are still uncertain. 6.2. The Program aims to achieve an increase in the geographical coverage of the Madrid system, an increase in its use by existing members of the Madrid Union, and an increase in the participation of developing and least-developed countries and emerging economies. WIPO also aims at ensuring that the system will continue to be the main filing system offering international trademark protection in a simple, efficient, flexible, user-friendly and time and cost-effective manner. Improvements on the operational and legal side will continue to be implemented to ensure that the Madrid system meets the evolving needs of right holders and Member States. IMPLEMENTATION STRATEGIES AND RISKS 6.3. A further increase in the efficiency and cost-effectiveness of the administration of the international registration service has been identified as a priority for the 2012/13 biennium. To this end, IT tools will be developed to eliminate duplication of work and to reduce the number of functions which are currently performed manually. In addition, a comprehensive process re-engineering exercise will be carried out to streamline processes and practices making them more efficient, targeting the automation of low value added or repetitive tasks. There will be further expansion of electronic communication facilities between the International Registries and the users and Offices. The use of related databases through the Internet (Madrid Database Goods and Services Manager) will also continue to be encouraged. 6.4. The Examiners Exchange Program funded through the IT Modernization Reserve Project will continue. Countries that actively participate in the Madrid system at the level of filings and designations, and in which the national language is not one of the working languages of the system, have been part of this exchange program. The Program will prove its benefits for the International Bureau and the national offices when the staff carry out more comprehensive promotional activities upon return to their offices. 6.5. The Working Group on the Legal Development of the Madrid System will meet on a biannual basis. One focus area in the Working Group will be possible simplifications of the Madrid system, which will improve the system so as to be more efficient, flexible, reliable, user-friendly and time-and cost-effective for all its users. Upon the recommendation of the Working Group, proposed amendments to the Common Regulations will be submitted for adoption by the Assemblies during the 2012/13 biennium. Another focus area will be to determine whether under-utilization in specific countries is due to a lack of familiarity with, or confidence in, the Madrid system or to some technical or non-technical barrier at the national, regional or even international levels that may require changes in policy or law. While each problem may have its own solution within its own timeframe, the immediate elimination of perceived, as opposed to real, weaknesses may significantly increase satisfaction and intensify use of the system within the timeframe of this special challenge. Following the accession of all Members of the Madrid Union to the Madrid Protocol, consideration will be given to the transformation of the dual treaty structure of the Madrid system into a one-treaty system. 6.6. For the Madrid system to be used to its full potential and be a truly global system, both an increase in international applications as well as an expansion of the geographical coverage will be necessary. There will be a stronger focus on promoting a better use of the Madrid system in countries where there is a potential for such use. Local consultants in specific countries (big users of the system) will be important in the promotion activities to take place in these countries. This also represents the most cost-efficient approach with the additional benefit of carrying out promotion activities in national languages. Such activities will involve the competent authorities of Contracting

53


Parties, competent intergovernmental organizations, non-governmental organizations, and interested circles, including IP attorneys and agents, as well as the business community. Another special focus will be placed on the development of training initiatives and capacity building activities, in consultation with other key Programs of the Organization. 6.7. Increasing the Madrid membership of countries that play important roles in international trade will boost the use of the Madrid system. As such, accession of those countries not yet party to the Protocol should render the system more attractive to current and potential users in both developing and developed countries. Regarding accession of developing countries and LDCs, special attention will be given to strengthening the institutional capabilities of the national offices, in cooperation with Programs 9, 10 and 15, to ensure that the users, the nationals, take full advantage of the benefits of the Madrid system. Identifying the factors that might be hindering further accessions to the Protocol will be a focus area. Specifically tailored outreach programs will be developed to more effectively communicate the impact an accession to the Protocol might have in a particular national context. This will be done in accordance with DA Recommendations 1 and 6 taking into account the priorities and special needs of each country and the different levels of development between developing countries and LDCs. 6.8. If the expected economic growth does not materialize in the 2012/13 biennium, or if it is unsustainable, the level of use of the Madrid system will be negatively affected, as happened in 2009. Another risk is that factors preventing geographical expansion and greater use of the system are more complex and diverse than currently understood thus taking longer to be addressed. 6.9. Risks may be mitigated by intensive promotion activities to maximize the potential use of the system by countries - and thereby reducing any under-utilization - to take advantage of the increased efficiency and cost-effectiveness of the system. B. LISBON SYSTEM PLANNING CONTEXT 6.10. The main focus in the biennium as regards the Lisbon system will be the on-going review exercise in the Working Group on the Development of the Lisbon System, which is taking place in view of the need to make the system more attractive for governments to accede and for right holders to use, while preserving the principles and objectives of the Lisbon Agreement. Moreover, there is a need to take into account the increasing number of requests from developing countries and LDCs for technical assistance for the establishment of appropriate systems for the protection of their geographical indications and appellations of origin. In addition, maximizing the use of electronic tools under the procedures of the Lisbon system will be further pursued. IMPLEMENTATION STRATEGIES AND RISKS 6.11. The on-going review of the Lisbon system in the Working Group on the Development of the Lisbon system is currently focusing on improvements of the system that would allow for the international registration of geographical indications, in addition to appellations of origin, and for the possible participation in the system not only by States, but also by intergovernmental organizations. This work may result, in the 2012/13 biennium, in a decision by the Lisbon Union Assembly to convene a diplomatic conference for the consideration of amendments or a revision of the Lisbon Agreement and/or the conclusion of a new treaty supplementing the Lisbon Agreement. In addition, to the extent that the review may generate, within the same period, recommendations from the Working Group for amendment of the Lisbon Regulations under the current regime of the Lisbon Agreement, proposals for such amendments to the Lisbon Regulations will be submitted for adoption by the Lisbon Union Assembly during the 2012/13 biennium. The difficulty of transforming the Lisbon system into a system that enjoys wide international participation should, as also mentioned in the MTSP, not be under-estimated. 6.12. The information and promotion activities of the International Bureau concerning the protection of geographical indications and appellations of origin will incorporate, as an important component, questions concerning the international registration of geographical indications of origin and appellations of origin.

54

Strategic Goal II

6.13. As regards the use of electronic tools, the aim is to complete the on-going automation of the notification and registration procedures by engaging all competent authorities of Lisbon Member States in the establishment of electronic means of communication under the Lisbon procedures. 6.14. The average number of international applications and other requests for recording in the International Register under the Lisbon system since 1967 has amounted to approximately 25 such transactions per year, with large variations, however, between years (for example, seven transactions were received in 2009 and 596 in 2007). The work on transactions includes the receipt, examination and recording of international applications, statements of grant of protection, refusal declarations, withdrawals of refusals and requests for the modification of international registrations as well their notification to Member States and publication in the Lisbon Bulletin. In addition, in the case of the accession of a new Member State, all existing international registrations are notified to the newly acceding State. Since 1997, the membership of the Lisbon system increased from 17 to 27 States. RESULTS FRAMEWORK


Better use of the Madrid and Lisbon systems, including by developing countries and LDCs

No. of new registrations (Madrid system) No. of renewals (Madrid system)

37,533 (2010); 40,900 (2011) 21,949 (2010); 21,900 (2011)

42,100 (2012); 43,500 (2013) 21,300 (2012); 22,000 (2013)

% of irregularity letters compared to total number of applications received (Madrid system)

19.3% (end 2010) 15%

% of international applications from developing countries and LDCs (Madrid system)

7% international applications

at least 10% international applications

No. of Contracting Parties to the Madrid Protocol

85 93

No. of Contracting Parties to the Lisbon Agreement

27 (March 2011) 30

No. of international registrations in force under the Lisbon system concerning appellations of origin from developing countries and LDCs

57 (out of 792) (March 2011)

75

Better operations of the Madrid and Lisbon systems

Average processing time of new applications without irregularities (Madrid system)

24 days (end 2010) 20 days

No. of Offices sending applications in XML format and receiving designations in XML format (Madrid system)

Five Offices Eight Offices

% of documents received electronically (Madrid system)

46% 60%

No. of clients receiving email notifications (Madrid system)

23,800 26,000

No. of clients using Portfolio manager (Madrid system)

nil 400

No. of fully automated processes (Madrid system)

Provisional refusals, renewals, Automatic translation (Final Decision, Grant of protection)

Provisional refusals, renewals, Automatic translation (Final Decision, Grant of Protection), limitations, subsequent designations

55



% of corrections inscribed compared to the total of operations inscribed (with the exception of refusals and final decisions) (Madrid system)

5.30% less than 4%

Establishment of an automated International Register (Lisbon system)

Status of the automation exercise at the end of 2011

Fully automated notification and registration procedures

Better operations of the Madrid and Lisbon systems (cont.)

Increased number of competent authorities using electronic means of communication under Lisbon procedures

14 (March 2011) All

Adoption of provisions streamlining or modernizing the Lisbon system legal framework

The procedures of the Lisbon system end 2011

Recommendations for modifications of the procedures under the Lisbon Agreement and/or the Lisbon regulations

Increased awareness of the Madrid and Lisbon systems

% of participants in Madrid system related events who are satisfied and report enhanced awareness post training event

data not available At least 85%

% of participants in Lisbon system related events who are satisfied and report enhanced awareness post seminars/workshops

data not available At least 85%



tranfers 1


II.8 Better use of the Madrid & Lisbon systems, including by developing countries and LDCs 7,103

II.9 Better operations of the Madrid & Lisbon systems 43,445

II.10 Increased awareness of the Madrid & Lisbon systems 1,546

Total 51,980 52,094



6.15. A slight decrease in Posts budget for 2012/13 under the Program is due to the fact that the 2010/11 restated budget after transfers includes actual expenditures of staff on posts for the Hague System for parts of 2010 before the Hague System was separated as independent Program unit within Program 6. 6.16. The proposed changes in the non-personnel cost categories are due primarily to the re-allocation of funds to better accommodate the extra needs for the promotion of the better use of the Madrid and Lisbon systems and new accessions as well as for the review of the Lisbon system. 6.17. The proposed decreases in a number of budget cost categories under the Program also represent a shift of funds from Program 6 to Program 31, following the creation of a separate Program for the Hague System. To reach the target of doubling Madrid filings, the Program would need to accelerate and reinforce the path of awareness and promotion of the system.

56

Strategic Goal II

Program 6


2010/11 2010/11 2010/11 2012/13 Difference Approved Budget Restated Budget ProposedBudget after transfers 1 after transfers 1 Budget

A. Personnel ResourcesPosts 38,538 38,557 35,312 35,160 (153) -0.4%Short-term Professional n/a n/a n/a 958 n/a n/aShort-term General Service n/a n/a n/a 2,499 n/a n/a[Consultants] 2,152 941 797 n/a n/a n/a[Short-term Employees] 2,365 2,126 2,024 n/a n/a n/aInterns 48 14 14 -- (14) -100.0%

Total, A 43,103 41,638 38,147 38,617 469 1.2%


Staff Missions 872 1,040 730 930 200 27.3%Third-party Travel 1,706 1,591 1,531 1,879 348 22.7%

Sub-total 2,578 2,631 2,261 2,809 547 24.2%Contractual Services

Conferences 296 291 221 120 (101) -45.7%Experts' Honoraria 46 41 26 100 74 282.7%Publishing 179 52 40 20 (21) -51.3%SSA & Commercial Services 9,206 9,265 8,746 7,930 (817) -9.3%

Sub-total 9,727 9,649 9,033 8,169 (865) -9.6%Operating Expenses

Premises & Maintenance 108 105 90 120 30 33.3%Communication n/a n/a n/a 2,240 n/a n/aRepresentation n/a n/a n/a 30 n/a n/a[Communication and Other] 2,687 2,633 2,213 n/a n/a n/a

Sub-total 2,795 2,738 2,303 2,390 87 3.8%Equipment and Supplies

Furniture & Equipment 91 91 60 10 (50) -83.3%Supplies & Materials 184 184 175 100 (75) -42.9%

Sub-total 275 275 235 110 (125) -53.2%Total, B 15,375 15,294 13,833 13,477 (356) -2.6%

TOTAL 58,477 56,932 51,980 52,094 114 0.2%POSTS2 122 117 105 107 2

Amount %






57


PROGRAM 31 THE HAGUE SYSTEM PLANNING CONTEXT 31.1. Despite a 32 per cent increase in filings in 2010, the untapped potential of the Hague system remains very large and, following continued promotion in 2011, the planning context for this biennium is assumed to be that of continued growth. In addition, as indicated in the MTSP, the Hague system fails to enjoy global membership (56 Contracting Parties by the end of 2010) but its Geneva Act of 1999, which was introduced to remedy this failing, is gathering momentum. Efforts to capitalize on this momentum and expand the system into a truly global system should start bearing fruit during the 2012/13 period. As some of the expected newcomers into the system count amongst the world’s largest sources of design filings and are likely to stimulate further accessions, filings are expected to increase many fold and in a more sudden manner than forecasted in the MTSP. Furthermore, some of these newcomers are those for which a number of features of the Geneva Act of the Agreement have been developed. These features, which are but a reflection of the divergences in national/regional laws, are among the more complex and have yet to be tested in practice. Consequently, their implementation will lead to the international procedure becoming more heterogeneous and cumbersome. In view of the above, the challenges for the 2012/13 period will be: (i) to cope with the expected growth; (ii) to successfully implement the features of the Geneva Act not yet put in practice; and (iii) to ensure, amidst all this, that the system remains attractive to users. IMPLEMENTATION STRATEGIES AND RISKS 31.2. WIPO aims at making the Hague system a first choice system for design registrations through new applicants and Contracting Parties. To achieve this, WIPO will aim at enhancing awareness of the Hague system, promoting a wider and better use of it, while ensuring a better administration of the system.

31.3. Coordinated actions will take place on three fronts: visibility, geographical scope and system development.

(i) Visibility: promotion will continue in the existing membership where there is significant untapped potential so as to overcome the obvious knowledge gap about the system and its advantages. Conducting regular analysis of the statistics on the use of the Hague system compared to national/regional systems will allow targeted promotional activities to win back former right holders and attract new users. Making general information available in all official languages and then assisting national or regional offices to relay that information to users will also help make the system better known. All this should lead to a continued increase in the use of the system.

(ii) Geographical scope: promotion and assistance to foster expansion of the Hague system through new accessions to the Geneva Act will continue in cooperation with Programs 9 and 10, with a priority on prospective Contracting Parties whose accession is likely to make the system more attractive to users or to prompt further accessions.

(iii) System development: as the system grows, the sophistication of the IT support services will need to increase in order to achieve higher levels of productivity through efficiency gains. In particular, the user interface of the system and the availability of e-business tools will need to be enhanced. Also, further development of the legal framework will be required in order to ensure that it remains in step with new Contracting Parties’ and users’ needs. This would require coordination with Program 2 in relation to the potential developments on the normative framework for designs. Finally, focusing the system around the Geneva Act appears essential in view of simplification, starting with continued efforts to terminate the antiquated London (1934) Act.

31.4. Events outside the control of the International Bureau such as economic and political uncertainties may remain a risk to the actual rate of filings or new accessions. In addition, the following more specific risks associated with the implementation strategies will need attention:

(i) Coping with the increase in filings: if the aim of increasing the use of the system is successfully accomplished, the human resources deployed in all aspects of the administration of

58

Strategic Goal II

the system will need to be correspondingly built up.

(ii) Increase in users’ expectations: promoting the system energetically means raising its visibility. Therefore, there is a need to build capacity to follow up on comments or suggestions that would unavoidably ensue, otherwise the system’s new visibility could have adverse effects on its popularity.

(iii) Growing complexity of the system: as the geographic scope of the Hague system broadens, a number of the features of the Geneva Act that were introduced to accommodate divergent national practices will be implemented for the first time. The international procedure will consequently become more complex, which risks making the system less attractive.

RESULTS FRAMEWORK


Increased awareness of the Hague system

No. of first-time applicants Not available Tbd in the course of 2011

No. of languages in which general information is available

The three working languages of the system

All official languages

No. of national or regional offices providing adequate information on the Hague system

About 2/3 of the offices concerned

All offices concerned

Wider and better use of the Hague system

No. of registrations, designs contained in registrations, renewals and other recordings

2010 2011 New Registrations 2,216 2,900

2012 2013 New Registrations 5,000 7,500

Designs contained Designs contained

11,238 15,000 20,000 25,000

Renewals Renewals

2,793 2,700 2,800 2,500

Other recordings Other recordings

4,244 5,100 8,000 12,000

No. of applications from, and designations of, developing countries and LDCs

12 applications from and 2,065 designations of developing countries and LDCs (2010)

80 applications from and 7,500 designations of developing countries and LDCs

% of irregular applications 57% (in 2010) 40% (in 2013)

Better administration of the Hague system

Predominance of the Geneva Act in the system as a whole system

39 Contracting Parties to the Geneva Act and 18 Contracting Parties bound by other Acts only in 2010

55 Contracting Parties to the Geneva Act , 1934 Act terminated and no countries bound only by the 1960 outside the EU or OAPI

Pendency for a regular non-deferred application, until publication

Nine weeks Three weeks

No. of fully automated processes Zero Two

% of requests filed through electronic interfaces

64% of international applications filed through electronic interfaces in 2010, no other requests going through electronic processes

80% of applications and renewal requests filed electronically

% of users satisfied with the services provided by the International Bureau

Tbd end 2011 Tbd end 2011

59




tranfers 1


II.5 Increased awareness of the Hague system 2,185

II.6 Wider and better use of the Hague system 2,153

II.7 Better administration of the Hague system 2,633

Total 4,952 6,970



31.5. The increase in personnel budget under the Program is due to the transfer of posts from Program 6, related to the Hague System. 31.6. The proposed increases in the budget cost categories for non-personnel resources under the Program represent a shift of funds from Program 6 to Program 31, following the creation of a separate Program for the Hague System. In addition, the proposed increases under “Staff Missions”, “Third-party Travel” and “Contractual Services” are related to improving the administration of the Hague system, as well as promoting the better use of the system and its geographical expansion.

60

Strategic Goal II

Program 31



A. Personnel ResourcesPosts -- -- 3,245 4,795 1,551 47.8%Short-term Professional n/a n/a n/a 345 n/a n/aShort-term General Service n/a n/a n/a 233 n/a n/a[Consultants] -- -- 144 n/a n/a n/a[Short-term Employees] -- -- 102 n/a n/a n/aInterns -- -- 1 -- (1) -100.0%

Total, A -- -- 3,490 5,373 1,883 54.0%


Staff Missions -- -- 310 390 80 25.8%Third-party Travel -- -- 60 110 50 83.3%

Sub-total -- -- 370 500 130 35.1%Contractual Services

Conferences -- -- 70 94 24 34.3%Experts' Honoraria -- -- 15 180 165 1100.0%Publishing -- -- 12 -- (12) -100.0%SSA & Commercial Services -- -- 519 586 67 12.9%

Sub-total -- -- 616 860 244 39.6%Operating Expenses

Premises & Maintenance -- -- 15 30 15 100.0%Communication n/a n/a n/a 182 n/a n/aRepresentation n/a n/a n/a 10 n/a n/a[Communication and Other] -- -- 420 n/a n/a n/a

Sub-total -- -- 435 222 (213) -49.0%Equipment and Supplies

Furniture & Equipment -- -- 31 6 (25) -80.6%Supplies & Materials -- -- 9 9 -- 0.0%

Sub-total -- 40 15 (25) -62.5%Total, B -- -- 1,461 1,597 136 9.3%

TOTAL -- -- 4,952 6,970 2,019 40.8%POSTS2 -- -- 12 14 2

Amount %






61


PROGRAM 7 ARBITRATION, MEDIATION AND DOMAIN NAMES PLANNING CONTEXT 7.1. To preserve and enhance the role of IP in the economy, it is vital to minimize the disruption which legal disputes can cause in the exploitation of such rights. For IP stakeholders, this translates into a need to integrate conflict management into business processes (for example, the development of new technologies), contracting practices, and broader enforcement policies, all of which require awareness of dispute resolution risks and opportunities. 7.2. The public court system offers formal territorial solutions resulting from generally applicable rights-based procedures, but as the evolution of the conditions for the creation and use of IP is highlighting the need for streamlining the framework for obtaining IP titles, similar motives are challenging rights holders and users to explore further cross-border solutions to their disputes. The WIPO Arbitration and Mediation Center assists these efforts as a global resource center, working to enhance party awareness, and as a service provider, offering dispute management tools on the basis of WIPO-facilitated clauses and rules. 7.3. Factors that may impact the possibilities for the implementation of effective dispute resolution mechanisms include the evolution of technology and the diversity of contractual frameworks for its development and use, including in the digital environment. At the same time, as they require efficient international solutions, these new networks present opportunities for the introduction of adapted alternative dispute resolution processes. As a result of its policy experience, the WIPO Arbitration and Mediation Center is well-placed to participate in and contribute to the development and creation of such alternative dispute resolution (ADR) frameworks as they relate to IP. On the other hand, for commercial and political reasons, numerous ADR service providers compete in the actual operation of these and other mechanisms. Recognition in that market will depend upon the efficient provision of the right services. 7.4. An example of the potential of ADR for IP is the WIPO-initiated Uniform Domain Name Dispute Resolution Policy (UDRP). Under this effective global online alternative to court litigation for addressing trademark abuse in the Domain Name System (DNS), the WIPO Arbitration and Mediation Center has processed almost 20,000 cases through 2010. The DNS landscape appears set to undergo considerable change, in the form of a broad expansion of the number of generic top level Domains (gTLDs) and the introduction of internationalized (non-Latin script) gTLDs and domain names. A further development of note is the increasing prominence of country code top level Domains (ccTLDs) within the DNS. 7.5. The impact of these changes on both IP and the UDRP is uncertain. The WIPO Arbitration and Mediation Center needs to continue to play a proactive role in proposing solutions to the Internet Corporation for Assigned Names and Numbers (ICANN) to reduce any adverse impact of the changes on IP or on the effectiveness of the UDRP as an instrument for combating cyber-squatting. Also, any substantial increase in demand under the UDRP (which grew by some 30 per cent in 2010) and other rights-protection mechanisms resulting from DNS expansion would require consideration of the resource impact. 7.6. The WIPO Arbitration and Mediation Center organizes training programs for intellectual property officials and practitioners, including online programs. The WIPO Arbitration and Mediation Center also assists national domain name authorities in the establishment of best registry practices and domain name dispute resolution mechanisms. Furthermore, national IP offices call on the WIPO Arbitration and Mediation Center for desired input on the development of alternative dispute resolution mechanisms tailored to their processing needs. These training and capacity building activities conducted in line with DA Recommendations 1 and 6 will contribute to the implementation of DA Recommendation 10 by ensuring that developing countries and LDCs have enhanced institutional capacity to efficiently, fairly and cost-effectively resolve IP disputes.

62

Strategic Goal II

IMPLEMENTATION STRATEGIES AND RISKS 7.7. Against this background, the WIPO Arbitration and Mediation Center will pursue the following strategies:

(i) Enhance awareness of IP ADR options. This Program will cooperate with other Programs, including Program 1 (Patent Law), Program 3 (Copyright and Related Rights), Program 4 (Traditional Knowledge, Traditional Cultural Expressions and Genetic Resources), Program 5 (The PCT System), Program 6 (Madrid, Hague and Lisbon Systems), Program 9 (Africa, Arab, Asia and the Pacific, Latin America and the Caribbean Countries, Least Developed Countries), Program 10 (Cooperation with Certain Countries in Europe and Asia), Program 11 (The WIPO Academy), Program 19 (Communications), Program 20 (External Offices and Relations), Program 27 (Conference and Language Services) and Program 30 (SMEs and Innovation).

(ii) Increase market research into the expectations and experience of IP stakeholders in the use of ADR. This Program will cooperate with other Programs, in particular Program 16 (Economics and Statistics).

(iii) Increase the attractiveness of dispute resolution services offered by the WIPO Arbitration and Mediation Center by adapting its procedures and case infrastructure to the evolving needs of users, including through IT-based solutions. This Program will cooperate with other Programs, in particular Program 25 (Information and Communication Technology).

(iv) Working with IP owners, users and institutions to establish tailored procedures specifically adapted to the particular features of recurrent disputes in their areas of activity. The availability of such procedures may for example contribute to the successful functioning of international platforms facilitating technology transfer agreements, or the appropriate use of web-based services. This Program will cooperate with other Programs, including Program 1 (Patent Law), Program 2 (Trademarks, Industrial Designs and Geographical Indications), Program 3 (Copyright and Related Rights), Program 4 (Traditional Knowledge, Traditional Cultural Expressions and Genetic Resources), Program 6 (Madrid and Lisbon Systems), Program 17 (Building Respect for IP), Program 18 (IP and Global Challenges), and Program 31 (The Hague System).

RESULTS FRAMEWORK



Increased consideration of the use of alternative dispute resolution services in intellectual property transactions, including through the use of WIPO procedures

225 disputes and 50 bons offices (end 2010) Center Survey Results 2,000 incoming queries (2010) Web visits 15 million (2010) 125 participants at Center annual events (2010); 3,000 participants at Center external events (2010)

20 additional disputes and bons offices Center Survey Results 4,000 additional queries 30 million 250 participants at Center annual events; 6,000 participants at Center external events

Alternative dispute resolution policies to the development and implementation of which policies the Center has contributed

Schemes adopted (AGICOA, Film and Media, EGEDA)

One to three additional schemes

Effective intellectual property protection in the gTLDs and the ccTLDs

Number of gTLD UDRP cases administered

17,772 gTLD cases (end 2010)

3,500 additional cases

Number of ccTLD UDRP-based cases administered

1,694 ccTLD-only cases administered by the Center (end 2010)

350 additional cases

63



Dispute resolution policies in the Domain Name System to the development and implementation of which policies the Center has contributed

UDRP (at the end of 2010, only the UDRP had been adopted, for a number of years already)

Implementation in the Domain Name System of WIPO policy and process recommendations

Number of ccTLD administrators with WIPO-assisted design or administration of intellectual property protection mechanisms in accordance with international standards

65 ccTLD administrators (end 2010)

Six additional administrators



tranfers 1


II.11International and domestic intellectual property disputes are increasingly prevented or resolved through mediation, arbitration and other alternative dispute resolution methods

3,175

II.12 Effective intellectual property protection in the gTLDs and the ccTLDs 7,409

Total 9,493 10,585



7.8. The figures for 2010/11 Budget under personnel costs represent actual expenditure for 2010 and budgeted amounts based on standard costs for 2011. The budget for 2012/13 is prepared using standard costs for the next biennium. 7.9. The proposed increases under “Staff Missions” would enable the Program to carry out a number of outreach activities to more fully meet its expected results. Certain activities which the Center must follow (e.g., ICANN developments) have also intensified the schedules and scope of related meetings, impacting on the required frequency and duration of travel. As regards the increases under “SSA and Commercial Services”, these resources primarily concern IT expenditure previously budgeted under Program 25 as well as transfers from “Experts’ Honoraria” to better reflect the nature of services to be utilized. 7.10. The Program does not envisage holding a larger conference during the next biennium and has reduced its resources under this category. By relying on its web pages for information purposes, offering fast and real time updating, the Program makes less use of formal publications and have therefore reduced its resource requirement under “Publications”. The investment in communication equipment in the present biennium has resulted in a lower budget requirement for the next biennium and the introduction of electronic case filing and training tools have also allowed for a reduction in physical supplies needs.

64

Strategic Goal II

Program 7



A. Personnel ResourcesPosts 5,172 5,333 5,520 187 3.5%Short-term Professional n/a n/a 3,925 n/a n/aShort-term General Service n/a n/a 190 n/a n/a[Consultants] 269 343 n/a n/a n/a[Short-term Employees] 3,781 2,883 n/a n/a n/aInterns 48 62 -- (62) -100.0%

Total, A 9,270 8,621 9,634 1,013 11.7%


Staff Missions 280 261 326 65 24.9%Third-party Travel 235 220 210 (10) -4.5%

Sub-total 515 481 536 55 11.4%Contractual Services

Conferences 179 179 143 (36) -20.1%Experts' Honoraria 60 60 -- (60) -100.0%Publishing 90 86 45 (41) -47.6%SSA & Commercial Services 30 20 210 190 950.0%


Representation n/a n/a 5 n/a n/a[Communication and Other] 13 13 n/a n/a n/a



Sub-total 33 33 12 (21) -63.6%Total, B 920 872 951 79 9.0%

TOTAL 10,190 9,493 10,585 1,091 11.5%POSTS2 15 16 16 --

Amount %






65


STRATEGIC GOAL III

FACILITATING THE USE OF IP FOR DEVELOPMENT

The goal of facilitating the use of IP for social, cultural and economic development drives WIPO’s multiple technical assistance and capacity building activities, which are delivered through programs in every sector of the Organization. Covering all these activities, the medium term focus of this cross-cutting Strategic Goal is to assist developing countries, least developed countries and countries with economies in transition to make effective use of the IP system in their specific context.

The WIPO Development Agenda plays a central role in ensuring that all areas of WIPO’s activities contribute to this Strategic Goal.


Clearly defined and coherent national innovation and IP policies, strategies and development plans consistent with national development goals and objectives

No. of countries that have formulated and/or are engaged in implementation of their IP Policies, Strategies and/or Plans each year (Africa)

Program 9

No. of countries with appropriate mechanisms for the development and implementation of IP strategies (Arab region)

Program 9

No. of countries with initiatives linked to the national IP plans (Arab region)

Program 9

No. of countries with IP policies and strategies in their national approval processes (Asia and the Pacific)

Program 9

No. of countries having adopted IP policies and strategies (Asia and the Pacific)

Program 9

No. of countries in which activities/projects have been carried out that contribute to the formulation of IP strategies/policies (Latin America and the Caribbean)

Program 9

No. of countries in which activities/projects have been carried out that contribute to the implementation of IP strategies/policies (Latin America and the Caribbean)

Program 9

No. of LDCs that have included LDC-specific IP considerations in their national IP strategies and/or policies (LDCs)

Program 9

No of countries having developed national IP strategies or plans, dovetailed with national development goals

Program 10


No. of specialized training (patent drafting, technology management, enforcement, etc.) and/or awareness-raising events (Africa)

Program 9

% of policy makers, government officials, IP practitioners and examiners, enforcement agents and |P users with a better understanding of IP issues and its use for development

Program 9

66

Strategic Goal III

Responsible Expected Results Performance Indicators Program(s)

No. of countries with available IP training programs and IP related career opportunities (Arab region)

Program 9

% of trained examiners using upgraded skills in their professional work (Asia and the Pacific)

Program 9

% of policy makers, government officials, and IP practitioners with enhanced understanding of IP issues, including how to effectively use IP for development (Asia and the Pacific)

Program 9

No. of national IP trainers/national experts (Latin America and the Caribbean)

Program 9

No. of structured national training programs (Latin America and the Caribbean)

Program 9

No. of countries in which the needs for technical assistance and capacity building have been assessed (LDCs)

Program 9

No. of trainees/participants per year and geographical distribution (LDCs)

Program 9


Program 9 Program 4

% of trained IP office officials using upgraded skills in their work % IP professionals attesting to an enhanced understanding of IP issues

Program 10

% of trained enforcement officials that report satisfaction with the training provided, including guidance on strategic cooperation, and its usefulness for their professional life


% of participants satisfied with the quality of workshops and seminars on innovation and its commercialization


% of participants’ positive rating of the usefulness of copyright related capacity building workshops

Program 3

% of participants’ rating of usefulness of copyright related workshops and practical use of knowledge 6 months after the workshop

Program 3

No. of national copyright and related rights initiatives started directly related to the themes of workshops

Program 3

New or strengthened cooperation mechanisms, programs and partnerships in LDCs

No. of partnerships established in LDCs among governmental organizations, private sector, NGOs, and other development partners (LDCs)

Program 9

No. of IP programs implemented jointly with other UN bodies and other IGOs (LDCs)

Program 9

% of IP office trainees that report satisfaction with the training provided

Program 11

% of trainees that report actual use of the acquired skills in their job

Program 11

67



% of supervisors attesting to satisfactory application of acquired skills after one year of training

Program 11

No. of graduates from WIPO academy and partner academic institutions (joint offering)

Program 11

No. of participants trained under the WIPO Summer Schools annually

Program 11

No. of IP teachers trained by the Academy Program 11

No. of start up academies established Program 11

No. of new inter-institutional cooperation agreements

Program 11

Easier access to IP education No. of online registrations to DL courses Program 11

Completion rate of DL courses Program 11

% of DL course participants having passed the exam

Program 11

No. of Academy courses incorporated in educational institutions curricula

Program 11

No. of new online courses / at different levels of specialization

Program 11

No. of languages used Program 11

No. of scolarships provided to participants to developing countries, LDCs and countries with economies in transition

Program 11

Upgraded IP Management skills for business % of participants that report satisfaction with the training provided

Program 11


Program 11

No. of requests for courses Program 11

Increased understanding/ capacity of SMEs and SMEs support institutions to successfully use IP to support innovation and commercialization

% of assisted support institutions who provide information, support and advisory/consulting services on IP asset management

Program 30

No. of national/regional training programs on IP asset management

Program 30

% of SMEs support institutions satisfied with the training provided on IP asset management

Program 30

Development Agenda principles further mainstreamed into the Organization’s programs and activities

No. of DA recommendations linked to Expected Results in the 2010/11 P&B

Program 8

No. of DA recommendations that are linked to Performance Indicators in the 2010/11 P&B

Program 8

Implementation of the coordination mechanism as approved by Member States

Program 8

Effective planning, implementation, monitoring, evaluation and reporting on the DA recommendations

No. of DA recommendations that have been addressed by the CDIP through projects, activities and studies

Program 8

No. of projects approved by the CDIP Program 8

68

Strategic Goal III


No. of projects proposed by Member States that are tabled for consideration by the CDIP

Program 8

% of projects which are monitored on a systematic basis

Program 8

% of projects which have been evaluated during the biennium

Program 8

Feedback on the quality of the reports presented to the CDIP on the implementation of the DA recommendations

Program 8

Enhanced understanding of the Development Agenda by Member States, IGOs, civil society and other stakeholders

No. of countries requesting technical assistance through DA projects and expressing interest in DA related activities

Program 8


No. of requests received for WIPO’s assistance Program 4

Increased extrabudgetary resources available for IP for development, either through direct contributions to WIPO or access to other external funding mechanisms

An increase in fund available through Funds-in Trust arrangements

Program 20

Number and financial value of WIPO implemented projects funded by existing external donor funded mechanisms

Program 20

Establishment of WIPO Guidelines for Partnership with the Private Sector

Program 20

69


PROGRAM 8 DEVELOPMENT AGENDA COORDINATION PLANNING CONTEXT 8.1. An effective implementation of the WIPO Development Agenda (DA) remains a high priority for the Organization. The challenges during the biennium will be to: further mainstream the DA recommendations into the Organization’s work; continue to define further work for the implementation of the 45 Recommendations; ensure effective monitoring and evaluation; and, assist Member States in reaping the benefits of the DA implementation. 8.2. During the previous biennium, tangible achievements were made notably: an enhanced integration of DA recommendations in the Program and Budget of the Organization and its MTSP; consolidation of the project based methodology; adoption by the Committee on Development and Intellectual Property (CDIP) of a number of projects and other activities and substantial reporting on progress made in their implementation; adoption by the WIPO General Assembly of the Coordination Mechanism and the Budgetary Process applied to Projects Proposed by the CDIP; and, a number of activities aimed at fostering a better understanding of the DA and participation by the various stakeholders in its implementation. IMPLEMENTATION STRATEGIES AND RISKS 8.3. During the current biennium, the Program will continue to play its critical role in the mainstreaming and cross-cutting implementation of the DA. The Program will facilitate the implementation of the decisions adopted by the WIPO General Assembly and the CDIP and, for this purpose, will work closely together with Member States and various sectors within WIPO and other stakeholders including bodies in the UN system, intergovernmental organizations (IGOs), non-governmental organizations (NGOs) and civil society at large. 8.4. The Program will facilitate the work of the CDIP and, in particular, will: develop the work plans for implementation of the various DA recommendations; coordinate and ensure that projects are properly implemented, monitored, evaluated and reported upon; facilitate the implementation of the Coordination Mechanisms and Monitoring, Assessing and Reporting Modalities (in collaboration with Program 22); and, undertake internal coordination within WIPO to include financial requirements for the projects proposed by the CDIP in the Organizational budgetary process (in collaboration with Program 22). In line with the DA recommendations, the Program will also facilitate the integration of the DA considerations into national IP strategies of WIPO Member States (in collaboration with Program 9 and 10). The Program will also organize a conference on IP and development. 8.5. The Program will continue to implement the communication strategy developed during the previous biennium. In close collaboration with other sectors within WIPO, it will organize events to create awareness with regard to the benefits arising from DA implementation (in particular in collaboration with Programs 1, 2, 3, 4, 9, 10, 11, 16, 17,18, 19 and 20). This will include organizing and participating in meetings, symposia and interactive sessions with Member States and engaging with other agencies and stakeholders to coordinate action that contribute to an effective implementation of the Development Agenda. Finally, in line with the mandate of the CDIP, the Program will also facilitate activities on IP and Development related issues as requested by the Committee, as well as those decided by the General Assembly. 8.6. An effective implementation of the DA continues to be dependant upon an active role and cooperation of the Member States. Their guidance will thus be of immense value for the Program to achieve the above stated objectives.

70

Strategic Goal III

RESULTS FRAMEWORK



No. of DA recommendations linked to Expected Results in the 2010/11 Program and Budget (P&B)

26 DA recommendations are linked to at least one Expected Result

45 DA recommendations to be linked to at least one expected results in the 2014/15 P&B

No of DA recommendations that are linked to Performance Indicators in the 2010/11 P&B

16 DA recommendations

45 DA recommendations linked to Performance Indicators in the 2014/15 P&B

Implementation of the coordination mechanism as approved by Member States

Coordination Mechanisms and Monitoring, Assessing and Reporting Modalities approved by the CDIP in April 2010

Coordination Mechanisms implemented in accordance with the decision of Member States

Effective planning, implementation, monitoring, evaluation and reporting on the DA recommendations

No. of DA recommendations that have been addressed by the CDIP through projects, activities and studies

42 recommendations (though not fully exhausted) (Dec 2010)

45 recommendations

No. of projects approved by the CDIP

19 projects (end 2010) n/a

No. of projects proposed, by Member States, that are tabled for consideration by the CDIP

tbd At least one project/region (in 2012/13)

% of projects which are monitored on a systematic basis

100% (17 projects) 100%

% of projects which have been evaluated during the biennium

100% (14 projects) 100%

Feedback on the quality of the reports presented to the CDIP on the implementation of the DA recommendations

Positive feedback received from the CDIP. Specific request for more analytical information in the reports

Positive feedback from the CDIP


No. of countries requesting technical assistance through DA projects and expressing interest in DA related activities

Projects and DA related activities in 50 countries

Projects and DA related activities in 50 countries

71




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III.6 Development Agenda principles further mainstreamed into the Organization’s programs and activities 2,505

III.7 Effective planning, implementation, monitoring, evaluation and reporting on the DA recommendations 759

III.8 Enhanced understanding of the Development Agenda by Member States, IGOs, civil society and other stakeholders 1,523

Total 5,269 4,788



8.7. The figures for 2010/11 Budget under personnel costs represent actual expenditure for 2010 and budgeted amounts based on standard costs for 2011. The budget for 2012/13 is prepared using standard costs for the next biennium. While there is a reduction of one post, the increase in costs is due to the allocation of a D post to the Program. 8.8. The proposed reduction in the non-personnel resources for the Program is mainly linked to the re-allocation of some resources to Program 11, primarily to accommodate the re-designed Executive Program (for further details please refer to Program 11).

72

Strategic Goal III

Program 8


2010/11 2010/11 2012/13 Difference Approved Restated Budget Proposed

Budget after transfers 1 Budget

A. Personnel ResourcesPosts 2,447 2,185 2,518 333 15.3%Short-term Professional n/a n/a 295 n/a n/a[Consultants] 336 554 n/a n/a n/aInterns -- 13 -- (13) -100.0%

Total, A 2,783 2,752 2,813 61 2.2%


Staff Missions 120 120 155 35 29.2%Third-party Travel 1,060 1,060 665 (395) -37.3%Fellowships 220 220 -- (220) -100.0%

Sub-total 1,400 1,400 820 (580) -41.4%Contractual Services

Conferences 406 406 526 120 29.6%Experts' Honoraria 50 50 22 (28) -56.0%SSA & Commercial Services 670 637 597 (40) -6.3%

Sub-total 1,126 1,093 1,145 52 4.8%Operating Expenses

Representation n/a n/a 10 n/a n/a[Communication and Other] 26 22 n/a n/a n/a


Supplies & Materials 2 2 -- (2) -100.0%Sub-total 2 2 -- (2) -100.0%Total, B 2,554 2,517 1,975 (542) -21.5%

TOTAL 5,337 5,269 4,788 (481) -9.1%POSTS2 8 8 7 (1)

Amount %






73


PROGRAM 9 AFRICA, ARAB, ASIA AND THE PACIFIC, LATIN AMERICA AND THE CARIBBEAN COUNTRIES, LEAST DEVELOPED COUNTRIES

PLANNING CONTEXT 9.1. Strategic Goal III, Facilitating the Use of IP for Development, drives WIPO’s multiple technical assistance and capacity building activities and serves as the high level framework for Program 9. The main challenge is to address the diversity and growing needs of developing countries and least developed countries (LDCs) in the African, Arab, Asia and the Pacific and Latin America and the Caribbean regions as they endeavor to unleash the full potential of IP for the advancement of social, cultural and economic development. In order to meet this challenge, the Program will strengthen its focus on the four critical pillars identified in the MTSP 2010-2015, namely, national IP strategies and policies, legislative and regulatory frameworks, institutional and technical infrastructure and human resource capacity building. 9.2. This Program is at the forefront of WIPO’s cooperation and engagement with Member States, particularly from the developing and least developed countries, and brings to the Organization the depth and breadth of its accumulated knowledge and understanding of the various regions. As such, it serves as the primary interface between the said Member States and the various programs of WIPO. Given the cross-cutting nature of Strategic Goal III, the Program will fully take into account its planning, coordinating and support role to other Programs and enhance synergies with them to ensure coherence in the design and implementation of national IP strategies and country plans. 9.3. The DA principles and recommendations will continue to guide the Program in its technical assistance activities, in particular, recommendations 1 to 14, 17, 19, 23, 25, 30, 31, 33 and 38 to 43. 9.4. The diversity of socio-economic situations among the countries is another challenge that requires careful and thorough country-based review, consideration and approach. Assistance relating to regulatory frameworks and institutional infrastructure will take these differences into account. As regards human capital, the requirements for training and capacity building reflect the diversity of stakeholders, from policy makers and administrators, to legal practitioners and experts and eventually the generators and users of IP. The challenge is to design programs that suit the requirements of different target groups while accommodating the interdisciplinary nature of IP, i.e., law and public policy, economics, business and technology. IMPLEMENTATION STRATEGIES AND RISKS 9.5. The overall objective of the Program is to empower developing countries and LDCs to use IP for economic growth and development and to take full advantage of the potential of IP as a major contributing factor in achieving national development objectives. Another important objective is to assist developing countries and LDCs in enhancing domestic innovation and creativity in their respective countries. 9.6. To this end, technical cooperation in the field of human, institutional and technical capacity building and the adaptation of legislative and regulatory frameworks will be consolidated with the aim of achieving the following results:

− Clearly defined and coherent national IP strategies and policies consistent with existing national development goals and objectives and international IP flexibilities;

− Tailored and balanced legislative and regulatory frameworks, taking into account specific national requirements and international IP flexibilities;

− Strengthened, efficient and responsive institutional and technical infrastructure; and

− Enhanced human resources able to deal with the broad range of requirements for the effective use of IP for development.

74

Strategic Goal III

9.7. The work on LDCs will be guided, among others, by the commitment made by WIPO contained in the document “WIPO Deliverables for LDCs” adopted at the High Level Forum on Building a Comprehensive Framework for Promoting Development in LDCs, on May 10, 2011, in Istanbul. 9.8. The target is to increase significantly the number of countries with customized IP strategies, the number of strengthened and equipped IP and IP related institutions and the number of countries receiving WIPO’s assistance related to legislative and regulatory frameworks. 9.9. WIPO will assist developing countries and LDCs in the design, development and implementation of national IP strategies that are both consistent with overall development plans and able to: foster innovation and creativity; leverage the potential of IP in all areas, including agriculture, health, trade and research; and, improve living conditions in general. These strategies will be prepared on the basis of systematic identification and assessment of needs and an inclusive process of national government-led consultation involving relevant government sectors, the private sector as generators, and users of IP, academia and civil society. 9.10. Raising the level of awareness of policy-makers is central to the successful formulation and implementation of national IP strategies and the integration of IP in national, institutional and sectoral development policies and plans. 9.11. Implementation will take place through country plans, a blueprint to guide the development of IP over a short- to medium-term period. These country plans, developed in government-led consultation with Member States, will: build on existing or newly adopted IP strategies or action plans; demonstrate complementarities of various programs; and, illustrate how resources will be or are being utilized in order to achieve a coherent set of objectives and results. In achieving the result of strengthened, efficient and responsive institutional and technical infrastructure, the Program, in coordination with relevant Programs, will work towards the establishment in developing countries and LDCs, of technology innovation and support centers (TISCs), technology transfer offices (TTOs) and university technology transfer offices (UTTOs). 9.12. Program 9 will cooperate closely with the development-specific programs listed under Strategic Goal III as well as with Programs listed under other Goals, to the extent that specific national/sub-regional/regional plans and programs require. The mainstreaming of the infrastructure and legislative and regulatory framework pillars of development will be facilitated by this Program which will ensure that these services are delivered in accordance with country plans and priorities identified in the IP strategies. Cooperation arrangements and partnerships between and among countries and regions will be promoted as a means of facilitating the development of mechanisms, tools and solutions which could be applied horizontally across regional/sub-regional lines, while taking into account the different levels of development, and recognizing the special needs of developing and least-developed countries, and the need to avoid the universal applicability of one-size-fits-all models. This will include promotion of cooperation and partnerships with regional economic communities, groupings and institutions, particularly among countries with similar needs and priorities. Efficient use of funds-in-trust and extra-budgetary resources will be ensured along with enhanced coordination with other donor agencies and organizations, including developing country organizations, in delivering assistance to countries. These strategies are, in general, intended to improve the quality and effectiveness of technical assistance, focusing on results, and ensuring sustainability and continuity of actions. 9.13. Following DA principles, technical assistance delivery will be demand-driven, based on country needs, strengths and requirements and will be undertaken in close consultation with national authorities and relevant stakeholders, including the private sector and consumer rights and other civil society organizations. Where appropriate, the strategy will be to design and implement the most appropriate projects that will facilitate the inclusion of IP and in congruence with public policy priorities. On-line databases provided via the Internet containing detailed information on WIPO’s technical assistance activities (IP-TAD) and the organization’s Roster of Consultants (IP-ROC) will provide Member States and the Secretariat with full access to information on all technical assistance activities undertaken by the Organization, including access to a global pool of IP experts that can be used in IP development-related activities. WIPO will work closely with Member States and the relevant IP stakeholders for the implementation of the DA project on capacity-building in the use of appropriate

75


technology for LDCs which aims at contributing to the strengthening of national capacities in the management, administration and utilization of technical and scientific information with a view to building their appropriate technology base. In addition, the Program will ensure an effective implementation of the DA project on IP and Branding for Business Development for developing countries and LDCs in close cooperation with Program 2. The project on South South cooperation is subject to the approval of CDIP. 9.14. Regional specificities will be taken into account in the determination of performance indicators and targets based on regional baselines. These are reflected in the tables which follow. 9.15. The implementation of planned activities could be affected by external factors such as the international environment, the absorptive capacity of recipient institutions and economic and political uncertainties. WIPO will endeavor, when needed, to minimize the impact of such risks, and will spare no effort to ensure the effective implementation, on time, of defined objectives. It will maintain an appropriate level of engagement and dialogue with Member States and other stakeholders. RESULTS FRAMEWORK



No. of countries that have formulated and/or are engaged in implementation of their IP Policies, Strategies and/or Plans each year (Africa)

Two countries have adopted IP policies Four countries have adopted national IP development plans Three countries have completed formulation of national IP policies and strategies

At least four countries have adopted IP policies At least eight countries have adopted national IP development plans At least six countries have completed formulation of national IP policies and strategies

No. of countries with appropriate mechanisms for the development and implementation of IP strategies (Arab region)

Five countries Five countries (in 2012/13)

No. of countries with initiatives linked to the national IP plans (Arab region)

Two countries Four countries (in 2012/13)

No. of countries with IP policies and strategies in their national approval processes (Asia and the Pacific)

- nil Six countries

No. of countries having adopted IP policies and strategies (Asia and the Pacific)

- nil Three countries

No. of countries in which activities/projects have been carried out that contribute to the formulation of IP strategies/policies (Latin America and the Caribbean)

Seven countries Eight countries (in 2012/13)

76

Strategic Goal III


No. of countries in which activities/projects have been carried out that contribute to the implementation of IP strategies/policies (Latin America and the Caribbean)

Seven countries 16 countries

No. of LDCs that have included LDC-specific IP considerations in their national IP strategies and/or policies (LDCs)

Four LDCs At least eight LDCs (cumulative)


% of policy makers, government officials, IP practitioners and examiners, enforcement agents and IP users with a better understanding of IP issues and its use for development

Data not available

60%

No. of countries with available IP training programs and IP related career opportunities (Arab region)

Five countries Three countries (in 2012/13)

% of trained examiners using upgraded skills in their professional work (Asia and the Pacific)


% of policy makers, government officials, and IP practitioners with enhanced understanding of IP issues, including how to effectively use IP for development (Asia and the Pacific)


No. of national IP trainers/national experts (Latin America and the Caribbean)

151 national experts/trainers

230 national experts/trainers (cumulative)

No. of structured national training programs (Latin America and the Caribbean)

31 national programs 59 national programs

No. of countries in which the needs for technical assistance and capacity building have been assessed (LDCs)

Needs assessment of 5 LDCs

Needs assessment for al least 15 LDCs (cumulative)

No. of trainees/participants per year and geographical distribution (LDCs)

Total of 502 trainees/participants across all regions

Increase in numbers of trainees/ participants


First time this Performance Indicator has been used in this Program

75%


No current data available 75%

77




General feedback available, but no specific data

90%


No. of national TISC networks launched

Nine national TISC networks launched (1 quarter 2011): Africa (3) Arab region (3) Asia and Pacific (1) Latin America and the Caribbean (2)

18 additional national TISC networks launched: Africa (9), all in LDCs Arab region (2) Asia and Pacific (3), all in LDCs Latin America and the Caribbean (4)

No. of users serviced by TISCs per quarter and country

Tbd by end 2011 Tbd by end 2011

No. of Member States that have developed their IP framework and established TTOs

Framework pilot project adopted and funding committed

Regional targets tbd


No. of Offices with fully automated vs partially automated IP administration systems provided by WIPO No. of Offices with IP data online in WIPO databases

Africa (14) Arab (13) Asian and Pacific (7) Latin America and the Caribbean (12) Total 20 (Regional breakdown tbd)

Africa (4 additional) Arab (4 additional) Asian and Pacific (4 additional) Latin America and the Caribbean (7 additional) Total 40 (Regional breakdowns tbd)

No. of Groups of Offices participating in a common platform

One Three (cumulative)

No. of Offices processing PCT and Madrid data with the support of WIPO supplied systems

Total 5 (regional breakdown tbd)

Total 20 (cumulative) (regional breakdown tbd)


No. of requests for and types of legislative advice related to patents, utility models, trade secrets and integrated circuits, including relevant IP flexibilities

In 2010, 12 comments were provided to Member States

25 comments on drafts prepared by Member States and 10 draft laws prepared by the Secretariat (in 2012/13) (regional breakdown tbd)


Not available 90%


Not available 90%


Not available 90%

78

Strategic Goal III



18 (2010) 19 (2011)

Legislative advice provided to 38 Member States and/or Regional Groups of Member States (in 2012/13) (regional breakdown tbd)




One regional group (Africa) One country (Asia)

Four countries (in 2012/13)

New or strengthened cooperation mechanisms, programs and partnerships in LDCs

No. of partnerships established in LDCs among governmental organizations, private sector, NGOs, and other development partners (LDCs)

Nil Establishment of partnerships in at least five LDCs

No. of IP programs implemented jointly with other UN bodies and other IGOs (LDCs)

Cooperation with the UN and other Organizations: (i) UN LDC IV Conference, Istanbul, Turkey (ii) WTO organized TRIPS meetings in Senegal, Uganda and Bangladesh

Two regional fora in cooperation with the UN and two regional fora in cooperation with WTO

79




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III.1Clearly defined and coherent national innovation and IP policies, strategies and development plans consistent with national development goals and objectives

8,363

III.2


15,420

III.3 New or strengthened cooperation mechanisms, programs and partnerships in LDCs 1,517

III.4 Easier access to IP education 681

III.5 Upgraded IP Management skills for business 120

III.6 Development Agenda principles further mainstreamed into the Organization’s programs and activities 1,418

III.7 Effective planning, implementation, monitoring, evaluation and reporting on the DA recommendations 461


3,690

Total 36,584 35,102



9.16. The figures for 2010/11 Budget under personnel costs represent actual expenditure for 2010 and budgeted amounts based on standard costs for 2011. The budget for 2012/13 is prepared using standard costs for the next biennium. The increase in budgeted amount under Posts for the Program goes beyond the statutory increases incorporated in the standard costs mainly due to the transfer of two posts from other Programs. 9.17. The proposed reductions under the non-personnel resources for the Program are primarily due to the mainstreaming of activities related to legislative and policy advice as well as IP office modernization to Programs 1, 2 and 15 respectively.

80

Strategic Goal III

Program 9



A. Personnel ResourcesPosts 21,658 18,708 20,167 1,459 7.8%Short-term Professional n/a n/a 1,092 n/a n/aShort-term General Service n/a n/a 1,253 n/a n/a[Consultants] 1,009 1,068 n/a n/a n/a[Short-term Employees] 1,814 1,454 n/a n/a n/aInterns -- 5 -- (5) -100.0%

Total, A 24,481 21,236 22,512 1,276 6.0%


Staff Missions 3,563 2,799 2,427 (372) -13.3%Third-party Travel 8,083 6,873 5,718 (1,156) -16.8%Fellowships 104 92 -- (92) -100.0%

Sub-total 11,750 9,764 8,144 (1,619) -16.6%Contractual Services

Conferences 1,203 1,070 1,226 156 14.6%Experts' Honoraria 1,616 1,406 1,955 549 39.0%Publishing 217 225 84 (141) -62.7%SSA & Commercial Services 2,273 2,490 1,026 (1,464) -58.8%

Sub-total 5,309 5,191 4,291 (900) -17.3%Operating Expenses

Premises & Maintenance 4 4 -- (4) -100.0%Representation n/a n/a 155 n/a n/a[Communication and Other] 321 145 n/a n/a n/a


Furniture & Equipment 247 204 -- (204) -100.0%Supplies & Materials 66 41 -- (41) -100.0%

Sub-total 313 245 -- (245) -100.0%Total, B 17,697 15,348 12,590 (2,757) -18.0%

TOTAL 42,178 36,584 35,102 (1,481) -4.0%POSTS2 56 47 49 2

Of which:

Development Agenda Project(s)3 1,078

Amount %





2 For further details on posts for the Program please refer to the Table in Annex II. 3 Includes projects on: (i) "Intellectual Property and Product Branding for Business Development in Developing Countries and Least-Developed Countries (LDCs)”, approved by CDIP; (ii) "South South cooperation on IP and Development among developing countries and LDC’s", subject to CDIP approval.

81






2012/13***


2012/13****

Program 9

Africa 688 2,651 3,339

Asia and Pacific 2,772 5,998 8,770

Latin America 100 475 575

Total 12,684 * For information only. It should be noted that some FIT Agreements provide resources for activities which extend beyond the region/program. For further details please refer to Annex V. ** The figures do not include interest and exchange rate adjustments. It should also be noted that these funds generally provide for activities spanning a period of time exceeding or overlapping a single biennium, as income is received and expenditure incurred. *** Annual contributions vary and fluctuations have been observed from one year to another. **** This figure is purely indicative and is based on previous funding patterns. It does not represent Member States’ commitments except in those cases where the FIT Agreement includes such a commitment.

82

Strategic Goal III

PROGRAM 10 COOPERATION WITH CERTAIN COUNTRIES IN EUROPE AND ASIA PLANNING CONTEXT 10.1. The key challenge for capacity-building activities in the regions covering Certain Countries in Europe and Asia, namely Central European and Baltic States, Central Asian, Eastern European and Caucasian countries, as well as some Mediterranean countries will be to provide effective, efficient, targeted and coordinated assistance to a broad range of countries at different levels of economic development and with widely different IP needs. For several of these countries, meeting even the more basic IP requirements of a market economy is still a challenge. On the other end of the spectrum, the 12 Central European and Baltic States that are members of the European Union (EU) as well as the Mediterranean countries are facing the challenge of using IP for economic development in a more competitive environment. Other countries in the region are preparing for membership in the EU and the European Patent Organization (EPO) and need to adapt their IP systems accordingly. With regard to such countries with a more sophisticated IP infrastructure, the challenge for WIPO is to provide more specialized assistance to meet their particular needs. Throughout the region, the recent international economic and financial crisis has increased the awareness of the role of IP and innovation in the process of economic recovery and economic development. This has led to a growing demand and higher expectations with regard to WIPO’s capacity to deliver systematic and focused support for the elaboration and implementation of these countries’ national IP and innovation strategies. IMPLEMENTATION STRATEGIES AND RISKS 10.2. The Program acts as WIPO’s primary interface with the countries in the region, focusing in particular on the four pillars identified in the MTSP 2010-2015, namely, national IP strategies and policies, legislative and regulatory frameworks, institutional and technical infrastructure, and human resource capacity building. The Program will support and coordinate the input from all relevant programs within WIPO in this regard. The DA recommendations will continue to guide the Program in its technical assistance activities, in particular, recommendations 1-14, 17, 33, 38 and 40-43. 10.3. Meeting the diverse IP needs and expectations of these countries will require a differentiated approach, country by country, that takes into consideration their different levels of economic and social development as well as their different IP infrastructures. This requires country-specific needs assessment activities which form the basis for the development of targeted national IP and innovation strategies. One of the Program’s key objectives is to significantly increase the number of countries with customized IP strategies. In this context, particular attention will be given to the need to involve all relevant national stakeholders and to obtain the commitment of the countries’ political leadership. The need to expand cooperation with the private sector remains a particular challenge in many of these countries. 10.4. At the same time, the Program will take account of certain commonalities and shared features of the economic and IP systems of the countries in the region. In this regard, the Program will facilitate the sharing of experiences, best practices, and methodologies at sub-regional and inter-regional levels in order to enable countries to learn from their respective experiences. 10.5. Some of the shared features and requirements of certain countries in Europe and Asia stem from the close relationship of a number of these countries with the EU. Cooperation with these countries will, where relevant, take into account requirements arising from EU membership, as well as the specific needs of acceding countries, candidate countries and countries benefiting from the EU’s New Neighborhood Policy and Eastern Partnership Policy. Synergies will be aimed for IP programs which these countries may be undertaking within an EU context or in the framework of the European Patent Organization (EPO). In addition, cooperation activities in member states of the Commonwealth of Independent States (CIS), in particular in cooperation with the Inter-State Council on the Protection of Industrial Property (ICPIP) and the Interparliamentary Assembly of the CIS Member States (IPACIS) will be duly taken into consideration with the aim to build synergies with these efforts. Cooperation with the regional Eurasian Patent Organization will continue to be given particular attention and will be

83


further strengthened to promote links with the PCT system as well as to join efforts to facilitate the use of IP systems and assets for the sustainable development in the region. 10.6. The implementation of a WIPO strategy in the Region is a large undertaking and will achieve its intended outcome only if properly resourced and managed. To avoid a major imbalance between an increasing demand for assistance on the one hand and limited resources on the other, the Program will strive to ensure that its activities are properly targeted, that they achieve the desired impact, and that they are delivered as efficiently as possible. The Program will also aim for synergies with other international and regional partners. RESULTS FRAMEWORK



No of countries having developed national IP strategies or plans, dovetailed with national development goals

Six countries (2008/09)

Eight additional countries


% of trained IP office officials using upgraded skills in their work % IP professionals attesting to an enhanced understanding of IP issues

Data not available Data not available

40% 30%



90%


No. of national TISC networks launched No of users serviced by TISCs per quarter and country

One national TISC network launched (1 quarter 2011) Tbd by end 2011

Four additional national TISC networks launched Tbd by end 2011



Eight TTOs (in 2012/13)



Four tbd

Four (in 2012/13) tbd


tbd tbd


No. of countries with updated national IP laws and/or regulations

Eight countries (2008/09)

10 additional countries

No. of requests for and types of legislative advice related to patents, utility models, trade secrets and integrated circuits

tbd tbd


Not available 90%

84

Strategic Goal III



Not available 90%


Not available 90%


2 Legislative advice provided to 2 Member States





tranfers 1



III.1Clearly defined and coherent national innovation and IP policies, strategies and development plans consistent with national development goals and objectives

2,207

III.2


1,461


1,522

Total 6,460 6,439



10.7. The figures for 2010/11 Budget under personnel costs represent actual expenditure for 2010 and budgeted amounts based on standard costs for 2011. The budget for 2012/13 is prepared using standard costs for the next biennium. The increase in budgeted amount under Posts goes beyond the statutory increases incorporated in the standard costs due to the transfers during the course of 2010/11. 10.8. The non personnel resources have been proposed at the same level as 2010/11, however, the budget allocation to cost category have been revised to reflect the intended utilization of resources for the Program delivery in the 2012/13 biennium. The increases under “Contractual Services”, including “Publishing”, primarily relates to development of specific tools and guidance materials for the overall use of IP assets for economic, social and cultural development in the countries covered. Furthermore, resources under “Third-party Travel” have been reduced to better reflect current expenditure patterns for the Program.

85


Program 10



A. Personnel ResourcesPosts 3,523 3,802 4,083 281 7.4%Short-term Professional n/a n/a 200 n/a n/a[Consultants] 269 333 n/a n/a n/a[Short-term Employees] 115 164 n/a n/a n/aInterns -- 7 -- (7) -100.0%

Total, A 3,907 4,305 4,283 (22) -0.5%


Staff Missions 226 226 280 54 23.9%Third-party Travel 1,227 1,215 974 (241) -19.8%Fellowships 135 132 180 48 36.4%


Conferences 180 180 220 40 22.2%Experts' Honoraria 113 113 140 27 23.9%Publishing 3 3 32 29 966.7%SSA & Commercial Services 260 256 290 34 13.1%


Premises & Maintenance 10 10 -- (10) -100.0%Representation n/a n/a 20 n/a n/a[Communication and Other] 30 -- n/a n/a n/a


Furniture & Equipment 10 10 20 10 100.0%Supplies & Materials 10 10 -- (10) -100.0%

Sub-total 20 20 20 -- 0.0%Total, B 2,204 2,155 2,156 1 0.0%

TOTAL 6,111 6,460 6,439 (21) -0.3%POSTS2 9 11 11 --

Amount %






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Strategic Goal III

PROGRAM 11 THE WIPO ACADEMY PLANNING CONTEXT 11.1. The WIPO Academy (“The Academy”) offers educational, research and training programs for government officials, policy makers, academics, professionals and various stakeholders in the field of intellectual property (IP) and the management of IP rights (IPRs). The main challenge facing the Academy is to respond to the increasing number of requests from Member States in the context of human resource development and capacity building. 11.2. At a time when information has never been more prolific, the need for ‘added value’ is critical. This is why the Academy focuses not just on information, but also on knowledge-generation. In all the Academy programs, participants complement their own experiences with guidance from professionals who know IP and how it works to stimulate innovation, creativity and development. Through high levels of interaction and a dynamic and empirical approach, the Academy packages specialized knowledge and, most importantly, helps build the capacity to apply that knowledge to add value in today’s networked, technology-driven world. 11.3. The demand for growth by Member States pertains to significant areas of the Academy’s portfolio of programs by increasing: training of professionals from IP offices, collective management organizations, diplomats, academics, students, and young professionals; the offering of joint Masters Degrees and the introduction of IP in the curriculum of universities and other institutions; specialized and tailor-made distance learning courses in various languages; and, training of senior students and juniors professionals in the framework of the Summer Schools program. The Academy also continues to receive requests from developing countries for the introduction of customized and tailor-made Executive Programs to enhance the skills of local business communities. 11.4. As set out in the MTSP, a further challenge of developing human resources is the need for expertise in cross-cutting issues at the intersection of law, technology and economics. A final challenge pertains to the effective translation of the objectives of the DA into the Academy’s undertakings and courses. IMPLEMENTATION STRATEGIES AND RISKS 11.5. To respond to the challenges faced by the Academy and to meet its core expected results, the Academy will continue to play a central role in delivering training and capacity building, in particular in accordance with DA Recommendations 1, 3 to 6, 12, 33, 38 and 41 including through customized programs and new approaches and methodologies, which will be continuously evaluated for quality. To this end, the Academy will continue to work closely with Programs 1 to 7, 14, 16 to 18 and 30 for the development of the substantive content of its training courses. Programs 8 to 10 will continue to assist the Academy in the delivery phase. 11.6. By adopting an interdisciplinary approach to IP education, the Academy will continue to provide IP courses to a broad audience during the 2012/13 biennium. More emphasis will be given to the quality of the content of the training programs and their availability in the six official UN languages. Traditional face-to-face and distance learning methodologies will continue to be used and enhanced in the design of training programs to expand the reach of the Academy to an increasing number of recipients. Partnerships with 30 national and four regional IP offices will be strengthened and joint programs will be offered for the benefit of the Member States. In the same vein, cooperation with universities and higher educational institutions for joint offering of Masters Degree and diploma programs, on the one hand, and, on the other, cooperation with partner institutions in the field of on-line courses in various languages, will continue to be reinforced. Collaboration with business associations and higher academic institutions from developing and least-developed countries, as well as countries with economies in transition, will be strengthened to enable business communities from these countries to benefit from the specifically targeted Executive Program. Partnerships with academic institutions and IP offices will enable the Academy to continue to offer Summer Schools in different locations to equip students and young professionals with cross-cutting IP knowledge. The

87


Development Agenda Start-Up National Academy project will provide means to developing countries and LDCs to increase skills of a wide range of stakeholders, including professionals and academics. The Global Network of IP Academies established in 2008 will continue to be hosted by the Academy to allow Member States to share experience, reference materials and resources for training, with a view to promoting efficient and coherent approaches to capacity building in the field of IP. Efforts will continue to be made to enhance representation of developing country trainers in the Academy’s faculty and training programs to make them more responsive to developing country needs. 11.7. To achieve its expected results, the Academy’s portfolio of activities and tailor-made programs in the next biennium will comprise:

(i) The Professional Development Program which will continue to offer courses in industrial property and copyright and related rights at the intermediate and advanced levels. Specialized courses in IP for specific target audiences in cooperation with its long-standing partner institutions will continue to be delivered. To respond to the requests for more training on management and innovation, in cooperation with the Technology and Innovation Sector and external partners, the Academy will offer these specialized courses for the benefit of senior officials from research and development institutions (R&D) and transfer of technology centers from developing countries and countries with economies in transition. New courses targeting copyright collective management organizations have been developed and offered to empower the stakeholders in this field. Cooperation with the WTO will be strengthened for the training of government officials.

(ii) The Distance Learning Program which will offer: the Primer on IP course (DL-001); the General Course on IP (DL-101); Primer on the PCT (DLPCT- 101) in seven languages; and, 11 advanced and specialized courses, namely Copyright and Related Rights (DL-201), IP and Electronic Commerce (DL-202), IP and Biotechnology (DL-204), Patents (DL-301), Trademarks (DL302), WIPO Arbitration and Mediation Rules (DL-317), Patent Information Search (DL-318), Basics of Patent Drafting (DL-320), IP Management in the Publishing Industry (DL-401), IP Management (DL-405), and the joint WIPO-University of South Africa Certificate Program on Specialization on IP. Three new specialized courses will be developed on traditional knowledge (DL-330), IP and economics (DL-420), and IP and public health (DL-430). The WIPO DA will be incorporated in the DL-101, DL-301, and DL-302 courses. The on-line courses will continue to serve as a prerequisite for professional training courses and as a complement to academic teaching programs in a number of universities. Efforts will also be made to translate the DL courses in additional languages as requested by Member States.

(iii) The Academic Institutions Program which will offer with a number of academic institutions, joint Masters Degree courses for the benefit of developing countries and countries with economies in transition. As of 2012, the Academy will jointly offer regional Master Degrees in IP with universities in Latin America, Asia and Eastern Europe. The Academy will assist academic institutions by providing them with tailor-made technical and expert advice on the design of new programs or updating of existing programs. The Colloquium for IP Teachers will be organized jointly with the WTO for the benefit from IP Professors from developing countries.

(iv) The redesigned Executive Program will be organized for the benefit of IP managers, executives, entrepreneurs, senior general and technical executives, managers of legal departments and other stakeholders from developing countries, LDCs and countries with economies in transition. The Program will target business executives from countries where IP executive education is unavailable. Quality of service will be ensured by engaging well-experienced and qualified resource persons. Specially designed pedagogy will be applied for interactive discussion based learning in intense three-day training sessions.

(v) The WIPO Summer Schools Program which will be offered in different localities to provide opportunities to students and young professionals to appreciate the importance of IP for development and the role played by WIPO, adopting the interdisciplinary dimension of IP as a key approach of teaching. During the 2012/13 biennium, two pilot Specialized Summer School Courses on Copyright and Related Rights and on Industrial Property will be organized. In total, at least six courses will be held and a rotational approach will be applied.

(vi) A phase 2 of the Development Agenda National Start-Up Academy Project will be subject to the evaluation of phase 1 and approval of phase 2 by the CDIP.

88

Strategic Goal III

(vii) The Global Network of IP Academies which has created synergies among the specialized IP academies and training institutions of Member States. To increase membership, the Global Network is now open to any academic institution being public or private.

11.8. Managing the balance between available resources and the increasing demands on both the quantity and quality of the Academy’s activities is the single major risk that could jeopardize the successful achievement of the expected results. In addition, as most of the programs of the Academy are in partnerships with cooperating institutions. Non-participation of some in the joint activities, due to financial constraints, could have an impact on the delivery of services. RESULTS FRAMEWORK



% of IP office trainees that report satisfaction with the training provided % of trainees that report actual use of the acquired skills in their job

80%

60%

90%

80%

% of supervisors attesting to satisfactory application of acquired skills after one year of training

60% 70%

No. of graduates from WIPO academy and partner academic institutions (joint offering)

60 75 (in 2012/13)

No. of participants trained under the WIPO Summer Schools annually

600 400 (in 2012/13)

No. of IP teachers trained 30 36 (in 2012/13)

No. of start up academies established (DA project)

2 4 (in 2012/13)

No. of new inter-institutional cooperation agreements

2 3 (in 2012/13)

Easier access to IP education No. of online registrations to DL courses

100,000 100,000 (in 2012/13)

Completion rate of DL courses 60% 75%

% of DL course participants having passed the exam

65% 75%

No. of Academy courses incorporated in educational institutions curricula

8 (2010/11) 8 (in 2012/13)

No. of new online courses / at different levels of specialization

2 (2010/11) 3 (in 2012/13)

No. of languages in which courses are offered

11 11

No. of scholarships for developing countries, LDCs and countries with economies in transition

1,000 (2010/11) 1,400

Upgraded IP Management skills for business

% of participants that report satisfaction with the training provided

80% 90%


60% 70%

No. of requests for courses Two courses per year

Three courses per year (in 2012/13)

89



2010/11 Restated Budget after tranfers 1

2012/13 Proposed

Budget

III.2

Enhanced human resources capacities able to deal w ith the broad range of requirements for the effective use of IP for development in developing countries, LDCs and countries w ith economies in transition

6,387

III.4 Easier access to IP education 3,222

III.5 Upgraded IP Management skills for business 723

Total 9,492 10,332



11.9. The figures for 2010/11 Budget under personnel costs represent actual expenditure for 2010 and budgeted amounts based on standard costs for 2011. The budget for 2012/13 is prepared using standard costs for the next biennium. The increase in budgeted amount under Posts for Program goes beyond the statutory increases incorporated in the standard costs as a result of a lower base in 2010 actual expenditure due to vacancies in the Program. 11.10. The proposed increases under non-personnel resources are mainly linked to the eventual Phase 2 of the “Pilot Project on the Establishment of “Start-up” National Academies”, subject to evaluation of Phase 1 and subject to CDIP approval of Phase 2. The project will contribute to providing easier access to IP education. 11.11. The proposed increases under the Program also reflect the re-allocation of some resources from Program 8, mainly under the “Contractual Services” in order to accommodate the re-designed Executive Program. This program will be tailored for IP managers, executives, entrepreneurs, senior general and technical executives and managers of legal departments from developing countries, LDCs and countries with economies in transition, with particular focus on those countries where IP executive education is unavailable.

90

Strategic Goal III

Program 11



A. Personnel ResourcesPosts 4,291 3,936 4,342 406 10.3%Short-term Professional n/a n/a 200 n/a n/aShort-term General Service n/a n/a 213 n/a n/a[Consultants] 336 269 n/a n/a n/a[Short-term Employees] 411 172 n/a n/a n/aInterns 48 67 -- (67) -100.0%

Total, A 5,086 4,444 4,755 311 7.0%


Staff Missions 616 616 616 -- 0.0%Third-party Travel 990 990 659 (331) -33.4%Fellowships 2,231 2,225 2,472 248 11.1%


Conferences 13 13 40 27 207.7%Experts' Honoraria 667 667 1,280 613 91.9%Publishing 70 70 70 -- 0.0%SSA & Commercial Services 430 417 360 (57) -13.7%


Representation n/a n/a 40 n/a n/a[Communication and Other] 40 -- n/a n/a n/a

Sub-total 40 -- 40 40 n/aEquipment and Supplies

Supplies & Materials 50 50 40 (10) -20.0%Sub-total 50 50 40 (10) -20.0%Total, B 5,107 5,048 5,577 529 10.5%

TOTAL 10,193 9,492 10,332 841 8.9%POSTS2 12 12 12 --

Of which:

Development Agenda Project(s)3 510

Amount %





2 For further details on posts for the Program please refer to the Table in Annex II. 3 Includes "Pilot Project on the Establishment of “Start Up” National Academies", subject to evaluation of Phase 1 and subject to CDIP approval of Phase 2.

91


Fund-in-Trust Resources Potentially Available for Programming in 2012/13* (in thousands of Swiss francs)* *

Program Projected Balance

end 2011

Estimated Contributions 2012/13***


2012/13****

Program 11 649 500 1,149

* For information only. It should be noted that some FIT Agreements provide resources for activities which extend beyond the region/program. For further details please refer to Annex V. ** The figures do not include interest and exchange rate adjustments. It should also be noted that these funds generally provide for activities spanning a period of time exceeding or overlapping a single biennium, as income is received and expenditure incurred. *** Annual contributions vary and fluctuations have been observed from one year to another. **** This figure is purely indicative and is based on previous funding patterns. It does not represent Member States’ commitments except in those cases where the FIT Agreement includes such a commitment.

92

Strategic Goal III

PROGRAM 30 SMALL AND MEDIUM-SIZED ENTERPRISES (SMEs) AND INNOVATION

SMALL AND MEDIUM-SIZED ENTERPRISES (SMEs) PLANNING CONTEXT 30.1. Micro, small and medium-sized enterprises (hereafter called SMEs) represent over 90 percent of enterprises in most countries worldwide, and contribute significantly to innovation, employment, exports and economic growth. However, the vast majority of SMEs do not use the IP system for protecting their IP assets. This is due to a variety of reasons, including: a lack of awareness of the IP system; the perceived high cost and complexity of using the IP system; a perception of the IP system as inadequate or inefficient and, therefore, inaccessible; and insufficient skills and competence in exploiting its potential for competitive advantage. In a large number of countries, the absence of readily accessible IP information and an effective focal point at the national level for interacting with the large number of heterogeneous SME support institutions also creates a communications challenge for WIPO. IMPLEMENTATION STRATEGIES AND RISKS 30.2. In line with DA Recommendations 1, 4, 10 and 11, the ultimate goal of this part of Program 30 is to increase the number of SMEs successfully managing their IP assets to create value and increase their competitive advantage. The focus in the biennium will be on reaching individual SMEs essentially through SME support institutions and other relevant government institutions. WIPO will, therefore, focus on assisting these support institutions understand the value and role of IP asset management, with special focus on the exploitation of IP assets, including trademarks and other IP rights, in branding, marketing, innovation, business operations and access to finance. The strategy will emphasize building the awareness of support institutions and strengthening their capacity in the area of IP asset management, particularly in developing and least developed countries, and countries with economies in transition. To this end, WIPO will rely on teaching, through the continuation of the training of trainers programs initiated in the 2010/11 biennium and through further capacity building initiatives, including distance learning programs on IP asset management based on the IP PANORAMA™ multimedia toolkit. This training would be complemented by advanced regional training programs on IP asset management based on case studies, role play and simulation. Recognizing the cross-cutting nature of the work of SMEs, this Program will coordinate SME related activities in close collaboration with other Programs within WIPO, including the WIPO Academy. 30.3. One risk inherent in the strategy targeting SMEs support institutions is that they might not be able to perform the expected functions. Efforts to mitigate these risks will include choosing partners with care and ensuring that WIPO works with those partners who are committed to their role as change agents, who plan on the basis of a systematic study of the IP needs of SMEs, who have a clear policy and strategy for creating awareness and building capacity of SMEs on IP asset management, who monitor and evaluate the quality and cost-effectiveness of their activities and, above all, who are likely to continue their programs of assistance to SMEs in the medium to longer term. This will require a close cooperation between Program 30 and Programs 9 (Regional Bureaus and LDCs) and 10 (Certain Countries in Europe and Asia).

30.4. Although the primary target group in the biennium will be SMEs support institutions, information will continue to be disseminated as widely as possible extensively through the use of the Internet environment. This will essentially be done through the WIPO SMEs website which contains regularly updated material of relevance to SMEs on IP asset management as well as the monthly electronic newsletter on issues of interest to SMEs and SME stakeholders on IP asset management. Moreover, WIPO will continue to make its SME-specific publications available for localization through translation and customization and, make available on request, the IP PANORAMA™ multimedia toolkit.

93


INNOVATION AND TECHNOLOGY TRANSFER PLANNING CONTEXT 30.5. This part of Program 30 seeks to foster, particularly in developing countries, indigenous and global capacity for technological innovation and dissemination of technology and knowledge. In an age of rapidly shifting technological landscapes, competitiveness through innovation is essential. This competitive edge can be maintained through innovation springing from openness, connectivity, flexibility and cross-pollination of creative networks. The policies and infrastructures of such innovation ecosystems are necessary to stimulate technological innovation and its commercialization. A well-designed and effective IP system, together with the proper preconditions in place, such as, for example, local technological absorptive capacity, financial incentives and strong scientific research, can be a strategic tool for Member States seeking to support national innovation and technology transfer processes. As stated in DA recommendation 11, a major challenge for many developing countries is to strengthen national capacity for protection of domestic creations, innovations and inventions and to support development of national scientific and technological infrastructure. Other challenges include an increasing need for a systemic and sustained approach to innovation policy and practice, including the effective distribution and commercialization of new technologies and the need for better dissemination of technologies through the patent system. IMPLEMENTATION STRATEGIES AND RISKS 30.6. The activities of this part of the Program are demand-driven and respond to requests from Member States and other international organizations, particularly those within the UN system. To address the above mentioned challenges, strategies applied will include:

(i) Contributing to the formulation and implementation of national IP and innovation strategies, in particular, as they relate to innovation promotion and technology management and transfer to enhance local innovation capacities;

(ii) Providing capacity building for the development or enhancement of institutional IP

policies for R&D institutions and universities which facilitate IP management, knowledge transfer and innovation promotion as well as for the setup of knowledge management and transfer infrastructures, such as technology transfer offices (TTOs), technology management offices (TMOs), IP hubs, incubation centers, technology parks and business centers;

(iii) Assisting Member States in establishing innovation ecosystems, including innovation

networks, inter alia through open collaborative innovation; (iv) Develop human capital with innovation commercialization skills in various areas, such as

technology licensing, IP valuation, IP marketing, university IP commercialization and strategic management of open innovation networks.

30.7. In terms of risks, innovation and technology transfer activities, as well as the establishment of innovation infrastructures and networks, face increased demand from Member States, which may be satisfied only through the development of more efficient internal and external partnerships, and the provision of adequate resources.

94

Strategic Goal III

RESULTS FRAMEWORK





8 TTOs


No. of national IP strategies which includes an innovation and technology component

Contribution on innovation and technology to three national strategic plans

Contribution on innovation and technology to eight national strategic plans




90%

No. of users from developing countries of WIPO-developed tools, models and materials on innovation and its commercialization

2,400 users 3,200 users

Increased understanding/ capacity of SMEs and SMEs support institutions to successfully use IP to support innovation and commercialization

% of assisted SMEs support institutions who provide information, support and advisory/consulting services on IP asset management

Not available 80% (of 15 support institutions expected to be assisted)

No. of national/regional training programs on IP asset management

24 24 (in 2012/13)

% of SMEs support institutions satisfied with the training provided on IP asset management

Data not available tbd

95




tranfers 1


III.2


2,433

III.11Increased understanding / capacity of SMEs and SMEs support institutions to successfully use IP to support innovation and commercialization

5,253

IV.2


3,207

VII.3IP-based tools are used for technology transfer from developed to developing countries, particularly least developed countries, to address global challenges

368

Total 9,723 11,261



96

Strategic Goal III

Program 30


2010/11 2010/11 2010/11 2012/13 Difference Approved Budget Restated Budget ProposedBudget after transfers after transfers 1 Budget

A. Personnel ResourcesPosts 2,379 2,838 5,107 5,689 582 11.4%Short-term Professional n/a n/a n/a 1,043 n/a n/aShort-term General Service n/a n/a n/a 834 n/a n/a[Consultants] 538 366 443 n/a n/a n/a[Short-term Employees] 377 349 764 n/a n/a n/aInterns 48 28 339 -- (339) -100.0%

Total, A 3,342 3,581 6,654 7,567 913 13.7%


Staff Missions 300 300 622 750 128 20.6%Third-party Travel 330 330 987 744 (243) -24.6%Fellow ships - -- -- 200 200 n/a

Sub-total 630 630 1,609 1,694 85 5.3%Contractual Services

Conferences 70 70 116 325 209 180.2%Experts' Honoraria 40 40 199 545 346 173.9%Publishing 90 216 245 535 290 118.4%SSA & Commercial Services 507 644 845 527 (318) -37.6%

Sub-total 707 970 1,405 1,932 527 37.5%Operating Expenses

Communication n/a n/a n/a 16 n/a n/aRepresentation n/a n/a n/a 5 n/a n/a[Communication and Other] 40 4 30 n/a n/a n/a

Sub-total 40 4 30 21 (9) -30.1%Equipment and Supplies

Furniture & Equipment 5 5 5 21 16 320.0%Supplies & Materials 5 5 21 26 5 23.8%

Sub-total 10 10 26 47 21 80.8%Total, B 1,387 1,614 3,070 3,694 624 20.3%

TOTAL 4,729 5,195 9,723 11,261 1,538 15.8%POSTS2 6 8 14 14 --

Of which:

Development Agenda Project(s)3 984 1,652 668 67.9%

Amount %





2 For further details on posts for the Program please refer to the Table in Annex II. 3 Includes projects on "Intellectual Property and Technology Transfer: Common Challenges – Building Solutions” and “Open Collaborative Projects and IP-Based Models”, approved by CDIP.

97






2012/13***


2012/13****

Program 30 200 - 200

* For information only. This FIT is due to end in 2011. For further details please refer to Annex V. ** The figures do not include interest and exchange rate adjustments. It should also be noted that these funds generally provide for activities spanning a period of time exceeding or overlapping a single biennium, as income is received and expenditure incurred. *** Annual contributions vary and fluctuations have been observed from one year to another. **** This figure is purely indicative and is based on previous funding patterns. It does not represent Member States’ commitments except in those cases where the FIT Agreement includes such a commitment.

98

Strategic Goal IV

STRATEGIC GOAL IV

COORDINATION AND DEVELOPMENT OF GLOBAL IP INFRASTRUCTURE

Information and Communication Technology (ICT) has created opportunities for greater efficiencies in the international IP system, more effective access to the output of the system, and increased participation in the system by least developed, developing and transition countries. The aim of this Strategic Goal is to strengthen the infrastructure of least developed, developing and transition countries, to enhance international cooperation in infrastructure and data flows throughout the system, and to develop global IP databases and voluntary platforms for increased technical cooperation.

The coordination and development of global IP infrastructure also contributes to Strategic Goal III (Use of IP for Development), Strategic Goal II (Provision of Premier Global IP Services) and Strategic Goal V (World Reference Source for IP Information). It includes the implementation of a number of Development Agenda Recommendations.


Updated and globally accepted system of international classifications and WIPO standards to facilitate access, use and dissemination of IP information among stakeholders in the world

No. of Offices using WIPO standards No. of amendments to the Nice Classification Unified ECLA and FI in the IPC


Integration in Locarno Classification of a tool for searching visual features of design applications

Program 12

No. of amended and new standards adopted Program 12

No. of Offices indicating satisfaction following training to improve their skills in the use of classifications

Program 12

No. of users accessing the internet publications of international classifications and standards, in particular from developing countries

Program 12


No. of different users per quarter/system (PATENTSCOPE/Global Brand Database) No. of languages in which cross-lingual search is available


No. of national TISC networks launched Program 14 Program 9 Program 10



No. of users of the value-added information services (technology search service, Patent Landscape Reports and ICE)

Program 14

% of recipients satisfied with the value-added information services (technology search service, Patent Landscape Reports and ICE)

Program 14

% of users satisfied with TISC services Program 14

Number of registered users of aRDI and ASPI Program 14



99



No. of trusted intermediaries (TIs) and rights holders (RHs) having joined the TIGAR system network, including from developing countries and LDCs

Program 3

No. of copyright protected works distributed among TIs and made accessible to VIPs across borders through the TIGAR system network

Program 3

No. of entities making data available to the IMR Program 3

No. of commercial users of IMR Program 3

Increased dissemination of digitized patent collections of national/regional offices of WIPO Member States

No of records in PATENTSCOPE/Global Brand Database which are not produced by the IB

Program 13

No. of national collections in PATENTSCOPE Program 13

No. of national collections in Global Brand Database

Program 13

Timeliness of PATENTSCOPE updates regarding PCT applications

Delay (in months) in implementation of PCT rule changes concerning PATENTSCOPE

Program 13

No. of weeks per year where publication is not available at 20:00 Geneva time on publication day

Program 13


No. of Offices with fully automated versus partially automated IP administration systems provided by WIPO


No. of Offices with IP data online in WIPO databases






No. of Institutions using WIPO copyright infrastructure systems (WIPOCOS and GDA)

Program 3

% of Governments that report positively on the effectiveness and governance of copyright institutions in the country

Program 3

100

Strategic Goal IV

PROGRAM 12 INTERNATIONAL CLASSIFICATIONS AND STANDARDS PLANNING CONTEXT 12.1. Global infrastructure of IP systems increasingly need interlinked and interoperable platforms and databases. International classifications and standards are crucial tools and instruments to bridge various IP offices working in different systems and languages, and to enable data to flow on a common platform and databases. With technologies, business solutions and collaborative arrangements of IP offices constantly evolving, international classifications and standards also need to be dynamically updated and refined. 12.2. Against this background, WIPO aims at providing Member States with the most updated and globally accepted system of international classifications and WIPO standards to facilitate access, use and dissemination of IP information among various stakeholders worldwide. In that respect, the activities of this Program have a direct link to Recommendations 30 and 31 of the DA. IMPLEMENTATION STRATEGIES AND RISKS 12.3. Strategies in the 2012/13 biennium will focus on further improving and developing the International Classifications and Standards through extensive use of e-fora and physical meetings of the respective Committees. In addition, demand-driven training will be provided for the use of the Classifications and Standards, in particular in developing countries. IPC (International Patent Classification) 12.4. Enhancement of the IPC will continue within the auspices of the IPC Committee of Experts through simplification (an initial stage was successfully implemented and became operational in 2011) and possible convergence or integration of the three classification systems (the European Classification System (ECLA) of EPO, the File Index (FI) of JPO and the US Classifications (USCLA) of USPTO) into the IPC, taking into account the Common Hybrid Classification of the Foundation project of IP5 (EPO, Korean Intellectual Property Office, JPO, China State Intellectual Property Office and US{TO). Subject to general agreement on a new structure of the IPC, WIPO will make necessary changes in the ICT system to support the new IPC and coordinate with Member States of the IPC Union during a transitional period which could start in 2013 and end in 2016. Nice Classification (list of goods and services for registration of trademarks) 12.5. The reform of the Nice Classification started in 2010. A decision was taken to integrate a taxonomy in the new structure which will allow, firstly, easier navigation between Nice classes and the list of individual goods and services and, secondly, rapid integration of goods and services coming from databases developed separately by various offices, including WIPO (the Madrid system), OHIM (Community Trademarks), USPTO and JPO. This will require close cooperation with Program 6 (Madrid and Lisbon Systems). The new publication platform will be in production by 2012, as approved by the Nice Committee of Experts (paragraphs 20 to 26 of document CLIM/CE/21/3), allowing the integration of new features such as synonyms, links to similar goods or services across Classes, links to definitions of some goods, classification reports, and links to WIPO Brand Database (in coordination with Program 13 (Global Databases). The Nice Committee of Experts will start meeting annually instead of every five years and, by extensive use of e-fora, new goods and services will be introduced into the Classification every year, allowing a swift and timely integration of elements from existing databases. Locarno Classification (Industrial Design) 12.6. Improvement of the Locarno Classification by integrating indexing of visual aspects has started and is expected to be approved by the Locarno Committee of Experts during the biennium. A new structure of the Locarno Classification, in line with the new Nice structure and integrating the above indexing, will be introduced before the end of 2013.

101


Standards 12.7. Further development of new WIPO Standards or the revision of existing Standards should provide a basis for the transmission, exchange, dissemination and sharing of IP information and documentation. Important tasks include the enhancement of existing XML Standards (for a better structured digital data format) and, in particular, the development and adoption of ST.96, the common XML standard for the three IP modalities, namely patents, trademarks and industrial designs. This will require close cooperation with Programs 5 (PCT system) and 6 (Madrid, Hague and Lisbon systems). The use of the recently developed new database and publication platform, WIPO STAD (accessible through WIPO GOLD), will contribute to the further enhancement of the work for the development and revision of WIPO IP Standards, recommendations and guidelines, and for sharing the current practices of IP offices in the domain of IP information. ICT systems for International Classifications and Standards 12.8. ICT systems managing these tools will be upgraded and consolidated. The IPC management system needs a system development to accommodate the new structure of the IPC which will increase the number of IPC groups three-fold. A new database will be developed for the Nice Classification in order to allow complete control by the International Bureau of the revision and publication of the Nice Classification given its more frequent revision and introduction of new features. Synergy with the IPC revision and publication infrastructure will be maximized in order to foster cost and time-efficient development. The electronic fora, which have been used with considerable success for more than 10 years, initially in the IPC environment and recently extended to the other Classifications, will be further enhanced in order to facilitate decision-making on routine issues and global data input by Offices to be introduced in the databases, thus reducing the need for additional capture. 12.9. The principal risk faced by the Program is related to the major changes and developments of the IT infrastructure which could result in delaying the implementation of the new structures of the Classifications. This risk will be offset by the use of common elements across areas of Program 12 based on proven technologies. Furthermore, separate applications will be developed sharing data in common XML format in such a manner that problems in development of an application would have less impact on the complete infrastructure. In that respect, the e-fora, the publication platforms, the web services for creating amendments to the Classifications, the core databases and the handling of the Committee decisions would be developed separately, despite sharing common data-files. RESULTS FRAMEWORK



No. of Offices using WIPO standards No. of amendments to the Nice Classification

Tbd end 2011 300 modifications per year in the two languages (average of 2006-2010)

Tbd end 2011 Additional 2,000 terms from trilateral list and correction of 4,000 terms from linguistic improvement

Unified ECLA and FI in the IPC Separate publications of ECLA and FI in national databases

ECLA and FI included in official IPC publications

Integration in Locarno Classification of a tool for searching visual features of design applications

Absence of tool Development of an indexing scheme for Locarno

No. of amended and new standards adopted

Average 2010/11: tbd end 2011

Tbd end 2011

No. of Offices indicating satisfaction following training to improve their skills in the use of classifications


102

Strategic Goal IV


No. of users accessing the internet publications of international classifications and standards, in particular from developing countries

Tbd end 2011 5% increase compared to baseline



tranfers 1


IV.1


6,932

Total 7,029 6,932



12.10. The figures for 2010/11 Budget under personnel costs represent actual expenditure for 2010 and budgeted amounts based on standard costs for 2011. The budget for 2012/13 is prepared using standard costs for the next biennium. 12.11. The proposed increase in “Staff Missions” relates primarily to training activities in the field of international classifications of trademarks and designs, for which the demand from developing countries is high. 12.12. The proposed resources under “Expert’s Honoraria” relates to the update and maintenance of the database of the International Patent Classification (RIPCIS); participation in the publication of official versions of the Nice, Vienna and Locarno Classifications as well as support to the Committee of WIPO Standards (CWS) and its Task Forces.

103


Program 12



A. Personnel ResourcesPosts 6,330 5,035 4,891 (145) -2.9%Short-term Professional n/a n/a 412 n/a n/a[Consultants] 269 230 n/a n/a n/a[Short-term Employees] 134 134 n/a n/a n/aInterns -- -- -- -- n/a

Total, A 6,733 5,399 5,302 (97) -1.8%


Staff Missions 291 195 255 60 30.8%Third-party Travel 80 -- -- -- n/a


Conferences 265 220 200 (20) -9.1%Experts' Honoraria 30 -- 205 205 n/aPublishing 105 20 20 -- 0.0%SSA & Commercial Services 925 1,175 900 (275) -23.4%


[Communication and Other] 9 -- n/a n/a n/aSub-total 9 -- -- -- n/a

Equipment and SuppliesFurniture & Equipment 57 20 -- (20) -100.0%Supplies & Materials 25 -- 50 50 n/a

Sub-total 82 20 50 30 150.0%Total, B 1,787 1,630 1,630 -- 0.0%

TOTAL 8,520 7,029 6,932 (97) -1.4%POSTS2 19 14 14 --

Amount %






104

Strategic Goal IV

PROGRAM 13 GLOBAL DATABASES PLANNING CONTEXT 13.1. Through this Program, WIPO contributes to the creation of global IP infrastructure by providing IP knowledge content, as public goods, available through global databases. The digitization of patent data and the rise of web-based technologies opened up the possibility of developing global databases of IP data as well as effective and powerful search tools. WIPO global databases such as PATENTSCOPE and GLOBAL BRAND DATABASE, accessible through WIPO GOLD services, include data from the collections of PCT, Madrid, Lisbon and Paris 6ter emblems. The databases also include data related to national and regional applications/registrations contributed by interested IP Offices which have agreed to develop the WIPO global databases as world reference resources for a ”one-stop search” strategy. Two key challenges relate to the processing of original data sources, which often exist in different formats and are of poor quality, for uploading, and the development of intelligent search tools for multi-language and image search. The Program provides support, in particular, for the implementation of DA Recommendations 24 and 31 with opportunities for knowledge transfer and for bridging the digital divide, by increasing multilingual access to documentation and by increasing the range and scope of searchable documents.

13.2. Global public information goods in the form of databases with worldwide coverage and effective search tools will assist Member States in making their data available for wider dissemination and in performing the most effective searches. The databases are thus expected to narrow the knowledge gap by increasing the number of users of IP information, including in developing countries and LDCs, and provide data to promote innovation. The Program will also ensure the publication of the PCT international applications in accordance with the relevant legal obligations and provide WIPO Global Databases assets as foundation and support for the implementation of Programs 14 (Services for Access to Knowledge) and 15 (Business Solutions for IP Offices). IMPLEMENTATION STRATEGIES AND RISKS 13.3. In the biennium, WIPO will expand the following global databases in terms of their geographical coverage of data collections and the quality of data in collaboration with interested IP offices which agree on standardized data formats and coordinated policies on the exchange and usage of data. New national patent collections will be made searchable in full text using WIPO’s in-house Optical Character Recognition (OCR) conversion processes. New functionalities will broaden the appeal of the services provided in a cost-effective manner by outsourcing quality control and creating awareness of the services through seminars and promotional materials/activities.

13.4. WIPO PATENTSCOPE: PATENTSCOPE is the legal mechanism for publication of the international PCT applications and a patent database covering PCT and national and regional patent collections. The system will be further developed to cover some 30 million patent documents by the end of the biennium. Main challenges include the processing of the high volume of data and improving the quality of the data received, ensuring timeliness and completeness of the disseminated data, overcoming linguistic barriers and maximizing the number of national collections.

13.5. WIPO BRAND DATABASE: The database covering international registrations under the Madrid and Lisbon systems, national and regional trademark data collections, and emblems protected under the Paris Convention Article 6ter, will be further developed to cover some 10 countries during the biennium. Possible extension to industrial designs will be explored. Main challenges include the uploading of more data in different data formats and the implementing of an efficient image similarity search system for trademarks. 13.6. Multi-Languages Search Support: The search functions of all databases will be enhanced by multiple languages tools such as Cross Lingual Information Retrieval (CLIR) and machine translation for abstracts. Other functions such as citation extraction, patent landscape visualization/analysis, image similarity searching, patent family grouping, chemical and gene information extraction will also be explored.

105


13.7. Coordination with Program 15 should assist more Member States in using their business solutions including digitization projects for participating in global databases projects. Data cleaning and uploading will be rationalized by systemic approaches based on standards (in cooperation with Program 12). Coordination with Program 14 should enhance the usability of global databases. 13.8. The development of global databases depends largely on effective and close collaboration with participating IP offices, involved industrial partners and outsourcing agencies with regard to ensuring acceptable quality of supplied data and completeness of data collections. New search functions will also involve some risk in that no viable technological solutions exist at present. These risks will be mitigated by sharing responsibilities between participating IP offices and WIPO, using international standards and best practices to the greatest extent possible, as well as practical and realistic planning of development of new technologies, where necessary, with qualified partners. RESULTS FRAMEWORK



No. of different users per quarter/system (PATENTSCOPE/Global Brand Database) No. of languages in which cross-lingual search is available

Tbd end 2011 5

Tbd end 2011 9 (cumulative)

Increased dissemination of digitized patent collections of national/regional offices of WIPO Member States

No. of records in PATENTSCOPE/Global Brand Database which are not produced by the IB

PATENTSCOPE: seven million documents (Feb 2011) Global Brand Database: 0

PATENTSCOPE: 30 million documents Global Brand Database: two million

No. of national collections in PATENTSCOPE

18 40 (cumulative)

No. of national collections in Global Brand Database

n/a 10

Timeliness of PATENSCOPE updates regarding PCT applications

Delay (in months) in implementation of PCT rule changes concerning PATENTSCOPE

0 0

No. of weeks per year where publication is not available at 20:00 Geneva time on publication day

0 0

106

Strategic Goal IV



tranfers 1


IV.2


1,135

IV.3 Increased dissemination of digitized patent collections of national/regional offices of WIPO Member States 1,210

IV.4 Timeliness of Patentscope updates regarding PCT applications 2,159

Total 1,911 4,503



13.9. The overall proposed increase for Program 13 is mainly due to the split of Global Databases related activities from the Services for Access to Information and Knowledge (Program 14) during the 2010/11 biennium. As a result, the 2010/11 restated budget after transfers for Program 13 shows the cost of Global Database for only one year (2011). 13.10. The proposed increase in “SSA and Commercial Services” is also due to the significant increase in the number of collections and documents to be included in the PATENTSCOPE platform, which will represent an increase in loading, OCR and proof-reading activities. 13.11. The proposed increase under “Equipment and Supplies” relates mainly to an increase in hardware maintenance costs due to increased levels of multilingual searching and larger data amounts.

107


Program 13


2010/11 2010/11 2010/11 2012/13 Difference Approved Budget Restated Budget Proposed

Budget after transfers 1 after transfers 1 Budget

A. Personnel ResourcesPosts -- -- 1,213 2,998 1,785 147.1%

Total, A -- -- 1,213 2,998 1,785 147.1%


Staff Missions -- -- 135 85 (50) -36.8%Third-party Travel -- -- 9 -- (9) -100.0%

Sub-total -- -- 144 85 (59) -40.9%Contractual Services

Conferences -- -- 46 -- (46) -100.0%Publishing -- -- 37 30 (7) -17.9%SSA & Commercial Services -- -- 472 880 408 86.4%

Sub-total -- -- 554 910 356 64.2%Equipment and Supplies

Furniture & Equipment -- -- -- 275 275 n/aSupplies & Materials -- -- -- 235 235 n/a

Sub-total -- -- 510 510 n/aTotal, B -- -- 698 1,505 807 115.6%

TOTAL -- -- 1,911 4,503 2,592 135.6%POSTS2 -- -- 8 8 --

Amount %






108

Strategic Goal IV

PROGRAM 14 SERVICES FOR ACCESS TO INFORMATION AND KNOWLEDGE PLANNING CONTEXT 14.1. This Program is designed to support the last segment of a value chain from creation to use of Global IP Infrastructure. It aims at providing a variety of services which would make knowledge created by global infrastructure more accessible to IP institutions including IP offices and Technology Innovation Support Centers (TISCs), and to a broad public, particularly in developing countries, LDCs and countries with economies in transition. 14.2. Despite more availability of searchable digital content in databases on the Internet and access to specialized databases, the use of tools and content has not reached the level of expectation in many developing countries and LDCs. In addition to insufficient awareness, this is mainly due to the lack of users’ capacity. In this biennium, WIPO will focus on services for capacity building to facilitate the use of a wide array of tools, to better understand search results of content in databases, and to utilize effectively knowledge from IP systems for promoting innovation. The DA included several projects in the last biennium in pursuit of improved access to information and knowledge, in particular in the public domain. The main difference from the previous Program 14 is that this re-focused Program 14 will concentrate on the provision of value-added high quality technology information services as key resources for strengthening innovation, particularly in developing countries and LDCs. 14.3. Through this Program, therefore, knowledge created by IP systems will be made more accessible to IP institutions and the public. This will in turn narrow the knowledge gap and promote innovation. The Program is expected to make a significant contribution towards implementing DA Recommendations 8, 16, 19, 20, 30, and 31. IMPLEMENTATION STRATEGIES AND RISKS 14.4. The main services provided by WIPO under Program 14 are grouped in three areas as follows: Creating TISCs 14.5. The DA project “Specialized Databases’ Access and Support” received requests from some 40 countries for assistance in creating TISCs. The central mandate of TISCs is to boost domestic innovation in developing countries and LDCs by serving as nodal hubs for facilitating access to knowledge, technology transfer and promotion of home-grown innovation. TISCs were established in 12 countries in the biennium 2010/11. The remaining requests which have not been met would be dealt with in the biennium, subject to the CDIP’s approval of an extension of the project based on the evaluation of the initial results. WIPO would continue to lay the foundation for providing locally available technology information services to individual inventors, small and medium-sized enterprises, and other stakeholders in developing countries and LDCs. While assisting in creating more TISCs, in line with DA Recommendations 1, 6 and 10 and in close cooperation with Programs 1, 9,10 and 15, Program 14 will also reinforce the capacities of TISCs through the provision of a variety of services including a structured training program for TISC staff with e-learning modules. TISCs projects will be coordinated with the TTOs and UTTOs projects under Programs 1 and 9 respectively. 14.6. To support TISCs and other relevant institutions, services will be upgraded by the provision of access to specialized content as follows:

- Access to major science and technical journals databases through the Access to Research for Development and Innovation (aRDi) project for free or at extremely low cost;

- Access to commercial patent databases through the Access to Specialized Patent Information (ASPI) project, for free or at extremely low cost; and

- Efforts shall also be made to review and increase the list of countries eligible for free or extremely low cost access to aRDi and ASPI.

14.7. Both projects are initial successful results from WIPO partnerships with electronic publishers and private patent database vendors in 2009 and 2010, respectively, to promote access to knowledge

109


in developing countries and LDCs. In order to further promote the projects, while expanding the content, priority will be given to cooperation with existing partners, and specialized agencies of the United Nations implementing sister programs, in the planning and implementation of joint training and awareness-raising activities. 14.8. The sustainability and self-supporting operation of TISCs depend on shared responsibilities between the host government and WIPO. Availability of financial and human resources among potential TISC host institutions may be limited. To mitigate this risk, WIPO encourages institutions interested in hosting TISCs to use existing human resources as available (e.g., on a part-time basis) and takes into account the need to train a greater number of potential TISC staff in order to ensure that a sufficient number of trained individuals are available to staff TISCs. 14.9. The promotion of TISCs services and active use of aRDi and ASPI also need greater efforts made by all stakeholder groups. WIPO will develop interactions and cooperation within national networks and across different networks through joint events and an e-platform designed to enable TISCs to exchange experiences and best practices. Value-added information and coordination for IP offices and IGOs

14.10. Since the 1980s, WIPO has provided developing countries and LDCs with two services of patent information, namely, Patent Information Services (WPIS) and International Cooperation for the Search and Examination of Inventions (ICSEI). In 2012/13, these services will be remodeled, integrated and upgraded to fit the objectives of the Program in support of access to knowledge and capacity building. Services will include:

(i) Technology search service which provides simple search reports of patent information to be provided by donor IP offices that volunteer to respond to requests from IP offices with insufficient capacity in developing countries and LDCs;

(ii) Patent Landscape Reports (PLR) service which provides reports containing more value-added information analyzing and contextualizing search results of patent information, introduced during the implementation of the thematic DA project on “Developing Tools for Access to Patent Information”. Subject to the extension of the thematic project by the CDIP after the evaluation of the project, more PLRs would be produced in response to demands from developing countries. The PLR service will be coordinated with Program 1 and 18;

(iii) Following the completion of WIPO feasibility study on the support for national patent legal status databases which was requested under the DA thematic project on ”Intellectual Property and the Public Domain”, and subject to the approval of further activities for greater access to national patent legal status data, WIPO will explore new services such as patent legal status inquiry service for Member States and IGOs, and possible inclusion of national legal status data of interested IP Offices in PATENTSCOPE. The project will be implemented in coordination with Programs 1, 2, 3, 4, 8 and 9; and,

(iv) A remodeled service of ICSEI, to be launched as ICE (International Cooperation on Examination), within which WIPO will explore the provision of coordination services and make arrangements between donor IP and requesting IP offices for delivery of search and examination reports on patent applications and for organizing training and other capacity building programs to develop skills in utilizing such reports.

14.11. The delivery of value-added information services and international coordination services often suffers from: a mismatch between the expected and delivered quality of services under constraints of available resources; an inappropriate balance between costs, quality and benefits; a lack of synergy between the private sector and public organizations like WIPO and governments of Member States; and, non-reflection of all the different interests of participating institutions. WIPO will mitigate the risks by international coordination among all the stakeholder groups, and by taking a solid approach in which a pilot project should be followed by a smaller scale operation which, in turn, should lead to the full operation for services.

110

Strategic Goal IV

Organizing annual global symposium of IP authorities

14.12. Since 2009, the WIPO Global Symposium of IP Authorities, held immediately before the WIPO General Assembly, has provided authorities responsible for IP rights registration, including IP offices, with the unique opportunity to exchange views and share experience to address a number of practical questions regarding global infrastructure, tools, databases and common platforms. The symposium will continue to be organized in the same format with greater coverage of all the recent topics in relation to all types of IP rights. RESULTS FRAMEWORK



No. of national TISC networks launched

12 national TISC networks launched (1 quarter 2011): Africa (4) Arab region (3) Asia and Pacific (2) Latin America and the Caribbean (2) Certain Countries in Europe and Asia (1)

22* additional nationalTISC networks launched: Africa (9) Arab region (2) Asia and Pacific (3) Latin America and the Caribbean (4) Certain Countries in Europe and Asia (4)



% of users satisfied with TISC services

n/a 70%

No. of users of the value-added information services (technology search service, Patent Landscape Reports and ICE)


% of recipients satisfied with the value-added information services (technology search service, Patent Landscape Reports and ICE)

n/a 70%

Number of registered users of aRDI and ASPI

aRDi (24), ASPI (6) aRDi 50 before end 2013, ASPI 20 before end 2013

* These targets are subject to the evaluation of the DA project and approval by CDIP of a Phase II.

111




tranfers 1


IV.2


7,038

Total 8,804 7,038



14.13. The figures for 2010/11 Budget under personnel costs represent actual expenditure for 2010 and budgeted amounts based on standard costs for 2011. The budget for 2012/13 is prepared using standard costs for the next biennium. 14.14. The main reason for the overall reduction in 2012/13 proposed budget as compared to the 2010/11 restated budget after transfers under Program 14 is the fact that the 2010/11 restated budget after transfers includes the 2010 expenditure of Global Databases (new Program 13), which was split from this Program during 2010/11. This concerns in particular the personnel resources and non-personnel budget cost categories on “SSA and Commercial Services” and “Furniture and Equipment”. 14.15. In addition, the proposed decreases under various budget cost categories are also due to the expected completion of the Phase 1 of the DA project on Developing Tools for Access to Patent Information by the end of 2011. 14.16. The proposed reduction in “Publishing” is due to higher reliance on documentation produced in-house.

112

Strategic Goal IV

Program 14



A. Personnel ResourcesPosts 5,791 7,604 6,391 4,430 (1,960) -30.7%Short-term Professional n/a n/a n/a 1,006 n/a n/aShort-term General Service n/a n/a n/a 213 n/a n/a[Consultants] 269 29 29 n/a n/a n/a[Short-term Employees] -- 116 116 n/a n/a n/a

Total, A 6,060 7,749 6,536 5,650 (886) -13.6%


Staff Missions 330 360 225 195 (30) -13.5%Third-party Travel 80 484 475 200 (275) -58.0%

Sub-total 410 844 700 395 (306) -43.7%Contractual Services

Conferences 200 200 154 411 256 166.0%Experts' Honoraria -- 352 352 87 (265) -75.3%Publishing 90 90 53 9 (44) -83.2%SSA & Commercial Services 1,150 1,213 741 445 (296) -39.9%

Sub-total 1,440 1,855 1,301 952 (349) -26.8%Operating Expenses

Premises & Maintenance -- 15 15 -- (15) -100.0%Communication n/a n/a n/a 12 n/a n/aRepresentation n/a n/a n/a 10 n/a n/a

Sub-total -- 15 15 22 7 46.7%Equipment and Supplies

Furniture & Equipment 10 237 237 20 (217) -91.6%Supplies & Materials 10 15 15 -- (15) -100.0%

Sub-total 20 252 252 20 (232) -92.1%Total, B 1,870 2,966 2,268 1,388 (880) -38.8%

TOTAL 7,930 10,715 8,804 7,038 (1,766) -20.1%POSTS2 15 20 12 11 (1)

Of which:


Amount %





2 For further details on posts for the Program please refer to the Table in Annex II. 3 Includes projects on: "Developing Tools for Access to Patent Information" and "Specialized Databases’ Access and Support", subject to evaluation of Phase 1 and subject to CDIP approval of Phase 2.

113


PROGRAM 15 BUSINESS SOLUTIONS FOR IP OFFICES PLANNING CONTEXT 15.1. This Program forms the basis of global infrastructure as the technical architecture of the IP system to complement the legal architecture of the system. The introduction of ICT, and the generation of digitized IP data at each IP (industrial property) Office, creates the possibility of greatly enhancing the interaction between such Offices throughout the world and between those Offices and WIPO, and of providing more online services to stakeholders. 15.2. Around 50 Offices are now using IP Office Automation software (IPAS) provided and supported by WIPO. The number of IP Offices requesting modernization of their business systems is expected to increase from the current 50 to 80 or more in 2012/13. 15.3. A key challenge consists of integrating DA principles into the Program, in particular DA Recommendations 1 and 6. This will be addressed by significantly increasing activities aimed at capacity-building and knowledge transfer, so that IP Offices in developing countries are equipped to manage and continually upgrade their IP business systems in a sustainable fashion. IMPLEMENTATION STRATEGIES AND RISKS 15.4. Activities under this Program will result in more national and regional IP Offices enhancing their business solutions and technical infrastructure so as to provide more cost-effective and higher-quality services to their stakeholders. Most of the beneficiaries of this Program are IP Offices in developing and least developed countries. Common platforms such as WIPO DAS (Digital Access Service for Priority Documents) and WIPO CASE (Centralized Access to Search and Examination results) will be provided and upgraded as global business solutions that can enable IP Offices and stakeholders to participate to a greater extent in global networks. 15.5. Program services include: technical consultancy; business needs assessment; project scoping and planning; business process analysis; ongoing development and deployment of customized business system solutions for the administration of IP rights and for the exchange of priority documents and of search and examination results; establishment of IP databases; digitization of IP records and preparation of data for online publication and electronic data exchange with WIPO global IP systems (including PCT and Madrid); e-communication with WIPO databases such as PATENTSCOPE; provision of WIPO IP statistics; upgrading of technical infrastructure; training and knowledge transfer; and, business system support. 15.6. For the 2012/13 biennium, the aim is to move beyond assisting Offices to automate their internal IP administration processes so as to help Offices meet the demand for online services such as search systems, online registries and online filing systems, as well as to participate in multilateral arrangements for sharing of information and documents. WIPO DAS will be extended from patent priority documents to trademark and industrial design priority documents. WIPO CASE will be upgraded, taking into account business needs of different groups of countries, in particular Latin American countries and the Vancouver group countries. WIPO CASE technology will be made available to other groups of IP Offices (such as Latin American countries under a project called “PROSUR”) which wish to share search and examination results for international work share programs. 15.7. The Program contributes to several DA recommendations aimed at strengthening institutional and technical infrastructure of IP Offices and institutions (in particular, Recommendations 1, 2, 3 and 10). 15.8. For the 2012/13 biennium, implementation strategies will focus on:

− A significantly increased emphasis on transferring knowledge and building capacity in IP Offices through on-site training, mentoring and regional training workshops, including training of trainers in the regions.

114

Strategic Goal IV

− Implementing a project management methodology that emphasizes the collaborative nature of business system modernization projects between WIPO and IP Offices.

− Seeking closer coordination and partnerships with IP Offices which develop infrastructure and tools for international collaboration in providing services of IP Offices.

− Enhancement and further development of the software tools provided by WIPO to support the demands of IP Offices for more sophisticated tools and services. Enhancements should support the full range of IP business systems required by Offices, including filing systems, internal administration systems, search and examination systems and publication or data dissemination systems.

− Consolidating new infrastructure platforms for the exchange of IP information and documents and making common platforms available to a wider range of offices.

15.9. Internally, the Program will continue to work closely with Program 8 (Development Agenda Coordination), Program 9 (Africa, Arab, Asia and the Pacific, Latin America and the Caribbean Countries, Least Developed Countries), Program 10 (Cooperation with Certain Countries in Europe and Asia), Program 14 (Services for Access to Information and Knowledge), Program 6 (Madrid and Lisbon Systems), Program 5 (the PCT system) and Program 25 (Information and Communication Technology) and Program 31 (The Hague System). Externally, the Program will cooperate, as appropriate, with relevant regional and national IP organizations for the purposes of coordinating and sharing information on related activities, for joint organization of activities, and for possible funding arrangements. Collaboration with other relevant organizations and potential partners will be explored. 15.10. The main risks concern the sustainability of projects, the ability to provide adequate support and knowledge transfer to IP Offices, and the need to support a large number of Offices with limited resources. The implementation strategies above are designed to mitigate these risks by creating a business model where IP Offices own their projects to the extent possible, and WIPO provides knowledge transfer, capacity building and ongoing support at local, regional and international levels. Partnerships with other IP Offices and agencies will help to use WIPO’s limited resources more effectively. RESULTS FRAMEWORK




38/55

20

50/80

40 (cumulative)


1 3 (cumulative)


5 20 (cumulative)

115




tranfers 1



7,813

Total 7,212 7,813



15.11. The figures for 2010/11 Budget under personnel costs represent actual expenditure for 2010 and budgeted amounts based on standard costs for 2011. The budget for 2012/13 is prepared using standard costs for the next biennium. The increase in budgeted amount under Posts for the Program goes beyond the statutory increases incorporated in the standard costs mainly due to the transfer of one post from another Program. 15.12. The proposed increase under “Staff Missions” corresponds to a planned increase in the number of projects in IP Offices following increased demands from Member States. 15.13. The proposed increases under “Contractual Services” are related to the planned developments under the WIPO CASE project, the DAS project and enhancements in the Industrial Property Automation System (mainly due to Member States’ requests for new features such as EDMS and e-filing in IP Offices). 15.14. The proposed decreases under “Equipment and Supplies” are due to a shift in Program strategies with an enhanced focus on the on-site deployment, transfer of knowledge and training in IP Offices in order to ensure the Offices’ capacity to take ownership of their modernization projects.

116

Strategic Goal IV

Program 15



A. Personnel ResourcesPosts 2,187 3,423 3,893 470 13.7%[Consultants] 22 36 n/a n/a n/a[Short-term Employees] 195 102 n/a n/a n/aInterns 48 24 -- (24) -100.0%

Total, A 2,452 3,584 3,893 309 8.6%


Staff Missions 422 422 844 422 100.0%Third-party Travel -- 80 -- (80) -100.0%


SSA & Commercial Services 1,832 2,632 2,953 321 12.2%Sub-total 1,832 2,632 2,953 321 12.2%

Operating ExpensesPremises & Maintenance -- 1 -- (1) -100.0%Representation n/a n/a 2 n/a n/a[Communication and Other] 40 22 n/a n/a n/a


Furniture & Equipment 121 440 -- (440) -100.0%Supplies & Materials 31 31 120 89 287.1%

Sub-total 152 471 120 (351) -74.5%Total, B 2,446 3,628 3,919 291 8.0%

TOTAL 4,898 7,212 7,813 600 8.3%POSTS2 6 9 10 1

Amount %






117


STRATEGIC GOAL V

WORLD REFERENCE SOURCE FOR IP INFORMATION AND ANALYSIS

WIPO is the generator and repository of outstanding collections of technology disclosures, brand data, and technical and legal IP information. These collections provide a window onto what is happening in important sectors of the economy and in the IP system. They are of immense value to policy-makers; industry, business and other users of the IP system; and the interested public. That value has also been recognized in the Development Agenda, where there is strong demand for the Organization to provide empirical economic analysis and studies.

The value of WIPO’s data reference collections, however, depends upon the collections being accurate, up-to-date and responsive to the needs of stakeholders, as well as freely and universally accessible. WIPO is in a unique position to serve as a host and portal to the world’s most comprehensive and valuable collections of IP information. Under this strategic goal, WIPO would strive to realize the potential of that unique position.


Increased usage of WIPO statistical information on the performance of the international IP system

No. of downloads of two main statistical reports No. of data downloads

Program 16

Program 16

Take-up of WIPO economic analysis as an input into the formulation of IP policy

No. of downloads of main economic publications No. of developing countries which find WIPO economic studies useful and degree of usefulness

Program 16

Program 16

Enhanced access to, and use of, IP related legal information

Enhanced coverage in WIPO Lex database of IP related legal information

Program 21

118

Strategic Goal V

PROGRAM 16 ECONOMICS AND STATISTICS PLANNING CONTEXT 16.1. As the world economy recovers from the global financial crisis, innovation will remain essential in sustaining long-term economic growth and improving human development. Over the past decade, the innovation landscape has continuously changed: driven by fast economic growth, new sources of innovation have emerged – especially in Asia – and innovation models are becoming increasingly open, international, and reliant on markets for knowledge. Despite the fast growth of certain developing economies, a significant share of the world’s population continues to live in poverty and has not been able to harness knowledge for economic prosperity. 16.2. Against this background, the global intellectual property (IP) system faces significant challenges. Notwithstanding the crisis-induced drop in patent, trademark, and design filings in many countries, the continuously increasing reliance on knowledge inputs into production and the greater diversity of the world economy are prompting a steady increase in the demand for IP rights. The capacity of IP offices to cope with this rising demand is stretched, placing strains on the system. Policymakers also need to respond to new technological and business developments, such as the emergence of knowledge markets, ensuring that the IP system best serves the needs of societies. Similarly, policymakers in developing countries face the challenge to tailor IP policy to the needs of their economies, taking into account different resource endowments and different industrial structures. 16.3. For policymakers, firms and the public at large to better understand these challenges, a sound knowledge base is required. On the one hand, this knowledge base consists of accurate and timely statistical information on the performance of the international IP system. IP statistics are an important input into operational planning at patent offices. They also capture emerging technology and business trends and, in the case of patents, remain one the most frequently used indicators of innovative activities of firms, industries, and countries. 16.4. On the other hand, the knowledge base consists of analytical studies that explain how economic, technology, and business trends impact on the IP system and that evaluate the economic effects of different IP policy choices. Studies that support evidence-based decision-making are especially needed in developing countries, where fewer academic institution and research institutes conduct economic analysis on the IP system. IMPLEMENTATION STRATEGIES AND RISKS 16.5. Against this background, Program 16 will provide accurate, comprehensive, and timely statistical information on the performance of the IP system worldwide. The collection and publication of IP statistics is a longstanding WIPO activity, dating back to the Paris Convention of 1883. WIPO’s data and statistical publications are widely used by policymakers, businesses and the public at large to better understand patterns of IP use around the world, the latest filings trends, and other aspects of IP performance. 16.6. WIPO works with national and regional IP offices in collecting data on IP activity worldwide through its annual statistics survey. The statistics on the WIPO-administered filing treaties are generated in-house. The annual World Intellectual Property Indicators report summarizes the main statistical trends in the area of patents, utility models, trademarks, and industrial designs. WIPO participates in relevant international task forces for the development of IP statistics. Continuous efforts will be made to expand data coverage, improve the timeliness of statistical reporting, link data on different forms of IP by applicants, combine IP data with relevant economic data and enhance the user-friendliness of statistical products. These efforts will contribute to enhanced usage of WIPO statistical information by stakeholders from around the world. 16.7. Ensuring comprehensiveness and timeliness in the collection of statistical data relies on the voluntary cooperation of national IP offices in compiling and submitting the required data. Cooperation has generally been excellent, but many national IP offices have limited resources for statistical work, especially in developing countries. Appropriate planning, use of information and communication

119


technologies, and special outreach efforts in the implementation of the statistical survey should help solicit wider participation. 16.8. Program 16 will also provide high quality economic analysis on the functioning of the international IP system and assessing the economic effects of IP policy choices in developing countries. The provision of economic analysis is still a young WIPO activity with limited capacity. WIPO economic analysis seeks to offer an objective and empirical input into the public policy discourse on IP. 16.9. The economic analysis program has two pillars. One pillar focuses on economic challenges as they pertain to the global IP system. In part, analysis conducted under this pillar occurs in collaboration with other WIPO programs (especially, Programs 1, 2, 3, 5, 9, 10, 17, 18, and 30), contributing to the achievements of other WIPO Strategic Goals. Economic analysis projects are implemented drawing on a wide international network of academic economists. WIPO also coordinates a network of IP office economists, through which economic research work is coordinated and/or collaboratively conducted. One key expected output of the global analysis work is a WIPO economic flagship report. 16.10. The second pillar focuses on assessing the economic effects of IP policy choices in developing countries and specifically takes the form of implementing DA project CDIP/5/7 (related to DA Recommendations 35 and 37). The project consists of a series of studies on the relationship between IP protection and various aspects of economic performance in developing countries. Studies are tailored to the analytical needs of national policymakers, but generally focus on three themes: domestic innovation, the national and international diffusion of knowledge, and institutional features of the IP system and their economic effects. Studies are implemented by research teams involving WIPO economists, leading international academic economists, and local researchers in the concerned countries. A second CDIP project on IP and Brain Drain (submitted to the Seventh Session of the CDIP) would complement the economic analysis work on developing countries. In addition, the Program will advise Program 1 in its effective implementation of the project on Open Collaborative Projects and IP Based Models. 16.11. High quality economic analysis relies on access to data, not only on IP activity but also on different measures of performance by firms, households, industries, and economies as a whole. Such data are not always available, especially in developing countries, or may not be publicly accessible. Original survey work can be resource-intensive and, if done only once, may not yield sufficient insights. Collaborating with specialized research institutes may help address data problems. More generally, it is important to realistically assess the likely outcome of an economic investigation from the outset and manage expectations accordingly. RESULTS FRAMEWORK


Increased usage of WIPO statistical information on the performance of the international IP system

No. of downloads of two main statistical reports No. of data downloads

Tbd Tbd

10% increase in usage 10% increase in usage

Take-up of WIPO economic analysis as an input into the formulation of IP policy

No. of citations in economic publications and government policy reports

Given novelty of program, baseline not available

Given novelty of program, not possible to establish meaningful targets

No. of developing countries which find WIPO economic studies useful and degree of usefulness

Given novelty of program, not possible to establish meaningful targets

120

Strategic Goal V



tranfers 1


III.6 Development Agenda principles further mainstreamed into the Organization’s programs and activities 276

V.1 Increased usage of WIPO statistical information on the performance of the international IP system 1,569

V.2 Take-up of WIPO economic analysis as an input into the formulation of IP policy 2,711


30

Total 3,935 4,585



16.12. The figures for 2010/11 Budget under personnel costs represent actual expenditure for 2010 and budgeted amounts based on standard costs for 2011. The budget for 2012/13 is prepared using standard costs for the next biennium. The increase in the budgeted amount under Posts for Program goes beyond the statutory increases incorporated in the standard costs due to the growth in personnel during the course of 2010/11. 16.13. The proposed increases in non-personnel resources under the program are mainly related to the DA projects implemented under the Program. These include increases in costs, especially “Third-party Travel”. While there is an overall decrease in “Contractual Services”, this is primarily due to a shift of resources from “Experts’ Honoraria” to “SSA and Commercial Services” to better reflect the nature of services envisaged to be utilized. 16.14. A budget provision of 60 thousand Swiss francs had been allocated to “Publishing” under Program 16 for the 2010/11 budget; however, there has been no expenditure under this cost category to date because the publishing of WIPO statistical reports is not borne by Program 16. For 2012/13 the proposed budget of 15 thousand Swiss francs is planned to cover the cost of external publishing in respect of a book project envisaged to be undertaken in the period.

121


Program 16



A. Personnel ResourcesPosts 2,368 2,814 3,078 264 9.4%Short-term Professional n/a n/a 377 n/a n/a[Consultants] -- 54 n/a n/a n/a[Short-term Employees] -- 105 n/a n/a n/aInterns -- 14 -- (14) -100.0%

Total, A 2,368 2,986 3,455 469 15.7%


Staff Missions 100 148 184 36 24.3%Third-party Travel 50 98 281 183 186.7%


Conferences 40 48 78 30 62.5%Experts' Honoraria 300 448 360 (88) -19.6%Publishing 60 60 15 (45) -75.0%SSA & Commercial Services -- 146 210 64 43.4%


Representation n/a n/a 2 n/a n/aSub-total -- -- 2 2 n/aTotal, B 550 948 1,130 182 19.1%

TOTAL 2,918 3,935 4,585 651 16.5%POSTS2 6 8 8 --

Of which:


Amount %





2 For further details on posts for the Program please refer to the Table in Annex II. 3 Includes projects on: (i) “Intellectual Property and Socio-Economic Development”; “Open Collaborative Projects and IP-Based Models” , approved by CDIP; (ii) “Intellectual Property and Brain Drain”, subject to CDIP approval.

122

Strategic Goal VI

STRATEGIC GOAL VI

INTERNATIONAL COOPERATION ON BUILDING RESPECT FOR IP

Building respect for IP embodies a broader approach than that covered by the enforcement of IP rights alone. It calls for a focus on international cooperation where WIPO can make a difference. This is a broad, cross-cutting goal, supported by many different areas of WIPO’s activities. The WIPO Advisory Committee on Enforcement (ACE) serves as a mechanism for Member States to coordinate work towards this goal. Work under this Strategic Goal is guided by Development Agenda Recommendation 45.


Progress in the international policy dialogue among WIPO Member States on building respect for IP, guided by Recommendation 45 of the WIPO Development Agenda

Continued agreement by Member States on the substantive work of the WIPO Advisory Committee on Enforcement (ACE) in the biennium, incorporating development-oriented elements

Program 17

Systematic, transparent and effective cooperation and coordination between the work of WIPO and other international organizations in the field of building respect for IP

No. of formal cooperation mechanisms in place No. of joint activities


123


PROGRAM 17 BUILDING RESPECT FOR IP PLANNING CONTEXT 17.1. The work of WIPO in the field of Building Respect for IP is guided by Strategic Goal VI as well as Recommendation 45 of the WIPO DA. It is a broad, cross-cutting approach, supported by various WIPO Programs. It goes beyond the enforcement of IP rights as such, and aims at the creation of an enabling environment that promotes respect for IP in a sustainable manner and strengthened capacity in Member States for the effective enforcement of IP rights in the interest of social and economic development and consumer protection. 17.2. Risks associated with infringement of IP laws and regulations remain a global concern. In spite of intensive efforts by governments and right holders over the past years, more industries are targeted and new distribution patterns are emerging. The great demand for assistance by Member States mirrors the multi-facetted dimension of counterfeiting and piracy, including with a view to socio-economic and development-oriented concerns. While there is rich experience available in many countries and the global understanding of the relevant issues has been constantly evolving, evidence-based responses and mechanisms for sharing experiences need to be further developed. Especially in times of economic downturn, governments and right holders alike seek to focus resources on cost-effective remedies. Moreover, alternative models are explored that adequately balance rights, interests and obligations in the context of IP enforcement. At the same time, effective IP enforcement remains at the heart of a number of international initiatives. In this regard, it will be a major challenge to ensure and further build systematic cooperation and coordination among partner organizations, as appropriate, in the interest of quality, efficacy and transparency of services and in consultation with WIPO Member States. 17.3. Against this background, the main results sought to be achieved in the biennium consist of:

− Further progress in the international policy dialogue among WIPO Member States on building respect for IP, guided by Recommendation 45 of the WIPO Development Agenda;

− Enhanced capacity at the national level to develop and give effect to IP enforcement policies and measures, taking into account socio-economic and development-oriented concerns; and

− Systematic and effective cooperation and coordination between the work of WIPO and other international organizations in the field of building respect for IP, in consultation with WIPO Member States.

IMPLEMENTATION STRATEGIES AND RISKS 17.4. Within the framework of the WIPO Advisory Committee on Enforcement (ACE), WIPO will continue to support an effective implementation of the work program agreed by Member States for the individual sessions of this body. In close cooperation with Programs 16 and 19, research will be conducted to assist Member States in further deepening the understanding of the socio-economic context and impact of counterfeiting and piracy, including with a view to the demand-side of the problem. This work will take into account development-oriented concerns, in line with Recommendation 45 of the WIPO DA. The emerging understanding within the ACE may form the basis for exploring strategies that adequately respond to IP infringement in all its complexities. 17.5. WIPO will continue to offer and further develop its services to effectively respond to Member States’ requests for assistance, taking duly into account DA Recommendations 1, 6, 12 to 14 and 17. This work will be carried out in close cooperation with Programs 9, 10, 11 and 19, and coordinated with partner organizations, as appropriate, including the private sector. The findings of the work of the ACE will support and guide the Program’s technical assistance. A certain priority will be given to requests by LDCs in the biennium. This will embrace advising on the implementation of obligations under the TRIPS Agreement in light of the expiring transition period for LDCs, including with a view to utilizing the flexibilities permitted under the Agreement, and corresponding capacity building.

124

Strategic Goal VI

17.6. Assuming responsibility to further build international cooperation in the area of building respect for IP will remain a key feature of the work in the biennium. Program 17 will closely follow relevant processes in other international forums and increase cooperation, where appropriate, including with a view to ensuring further integration of development-oriented concerns in joint initiatives. Initiatives undertaken in this area will be regularly reported to Member States, including through the ACE. 17.7. A range of issues that are relevant in the context of IP infringements in the digital environment touch on the areas of work of different WIPO Programs and Standing Committees. Program 17 will continue to closely cooperate with and support the work of those other Programs, in particular Programs 2, 3 and 7. RESULTS FRAMEWORK



Continued agreement by Member States on the substantive work of the WIPO Advisory Committee on Enforcement (ACE) in the biennium, incorporating development-oriented elements

Current work program Agreement on specific work programs for the 8th and the 9th session of the ACE



One regional group (Africa) One country (Asia

Four countries (in 2012/13)


Inclusion of development-related issues in WIPO enforcement training programs

No current data available

100%


No current data available

75%


No. of formal cooperation mechanisms in place No. of joint activities

Three 30

Four 30 (in 2012/13)

125



2010/11 Budget after tranfers 1


I.4 Tailored and balanced IP legislative, regulatory and policy frameworks 311

III.2


1,261

VI.1Progress in the international policy dialogue among WIPO Member States on building respect for IP, guided by Recommendation 45 of the WIPO Development Agenda

635

VI.2


785

Total 3,017 2,992



17.8. The figures for 2010/11 Budget under personnel costs represent actual expenditure for 2010 and budgeted amounts based on standard costs for 2011. The budget for 2012/13 is prepared using standard costs for the next biennium. 17.9. The proposed increases under “Staff Missions” are the result of WIPO having to bear the travel costs to regional workshops, which were previously funded by FITs. The resource requirement for “Conferences” has reduced as WIPO will not be hosting the next two Global Congress cycles. Since no work on casebooks is anticipated in the 2012/13 biennium, the amount under “SSA and Commercial Services” has also been reduced.

126

Strategic Goal VI

Program 17



A. Personnel ResourcesPosts 1,741 1,958 1,941 (18) -0.9%Short-term Professional n/a n/a 252 n/a n/a[Consultants] 67 266 n/a n/a n/a

Total, A 1,808 2,224 2,192 (32) -1.4%


Staff Missions 150 150 238 88 58.7%Third-party Travel 436 432 414 (18) -4.2%


Conferences 120 120 60 (60) -50.0%Experts' Honoraria 67 67 76 9 13.4%SSA & Commercial Services 20 20 -- (20) -100.0%


Representation n/a n/a 6 n/a n/a[Communication and Other] 3 -- n/a n/a n/a

Sub-total 3 -- 6 6 n/aEquipment and Supplies

Furniture & Equipment 4 4 6 2 50.0%Sub-total 4 4 6 2 50.0%Total, B 800 793 800 7 0.9%

TOTAL 2,608 3,017 2,992 (25) -0.8%POSTS2 5 6 6 --

Amount %






Fund-in-Trust Resources Potentially Available for Programming in 2012/13* (in thousands of Swiss francs)* *

Program Projected Balance

end 2011

Estimated Contributions 2012/13***


2012/13****

Program 17 20 92 112

* For information only. The figure indicated for programming is at present only for 2012 as the existing FIT Agreement is due to conclude in 2012. For further details please refer to Annex V. ** The figures do not include interest and exchange rate adjustments. It should also be noted that these funds generally provide for activities spanning a period of time exceeding or overlapping a single biennium, as income is received and expenditure incurred. *** Annual contributions vary and fluctuations have been observed from one year to another. **** This figure is purely indicative and is based on previous funding patterns. It does not represent Member States’ commitments except in those cases where the FIT Agreement includes such a commitment.

127


STRATEGIC GOAL VII

ADDRESSING IP IN RELATION TO GLOBAL POLICY ISSUES

This Strategic Goal reflects WIPO’s potential to serve as the leading intergovernmental forum for addressing the intersection between IP, innovation and global public policy issues. It implies proactive and substantive engagement with other UN, intergovernmental, and non-governmental organizations in order to contribute to the search for shared solutions to the major challenges facing humanity, including climate change, food security, public health, the protection of biodiversity and meeting the Millennium Development Goals (MDGs). The most immediate impact of many of these global problems is borne by developing and least developed countries, and the programs under this Strategic Goal will be closely involved in the realization of development objectives and Development Agenda recommendations.



References to WIPO's work in the area of global challenges in other policy processes Increased use of material from the Global Challenges website

Program 18

Program 18

Feedback from participants in policy fora Program 18

WIPO established as a credible source of support, assistance, and reference for information on innovation and IP in relevant public policy processes

No. and diversity of specific requests from Member States and international organizations for WIPO contributions on IP in relation to global public policy issues

Program 18

IP-based tools are used for knowledge transfer from developed to developing countries, particularly least developed countries, to address global challenges

No. of participants in IP-based platforms No. of transactions concluded using the platform(s)

Program 18

WIPO established as the relevant Forum for analyzing and debating issues in the field of IP and competition policy

No. of countries requesting WIPO’s specific contributions on IP in relation to competition law-related issues

Program 18

No. and diversity of stakeholders (IP offices, competition authorities, relevant IGOs and NGOs) engaged in dialogue with WIPO

Program 18

128

Strategic Goal VII

PROGRAM 18 IP AND GLOBAL CHALLENGES PLANNING CONTEXT 18.1. This Program addresses innovation and IP at the intersection of pressing global and interconnected issues, in particular Global Health, Climate Change, and Food Security. The focus on the three subject areas is guided largely by Member States as noted, inter alia, in the DA because the most immediate impact of these is borne by developing countries. 18.2. As the specialized UN agency for IP, WIPO endeavors to facilitate international policy dialogue on the intersection between innovation, IP, and global public policy issues, recognizing that IP is not an end in itself but a tool to achieve socio-economic and development objectives. WIPO therefore cooperates actively with diverse international partners, both within and outside the UN system, in order to contribute to shared solutions to major challenges by: unlocking the potential of innovation and IP for a more equitable world; analyzing the relationship between innovation, IP and technology transfer (to include, as appropriate, various forms of knowledge sharing, the transfer of R&D and productive capacity, including collaborations, capacity building, licensing and technology adaptation and diffusion); and, developing practical tools. 18.3. During the biennium, the Program will continue to engage in policy dialogues on IP and global challenges with the aim of becoming a world-wide recognized source of fact-based information and analysis, a forum for international discussion, and a catalyst of tangible, results-oriented projects that leverage innovation for development. Work is guided by the Development Agenda and Millennium Development Goals. IMPLEMENTATION STRATEGIES AND RISKS 18.4. Effective and constructive contribution to the global policy dialogue will be pursued through a three-pronged implementation strategy:

- Developing objective and balanced information on the relationship between global challenges and innovation and technology transfer;

- Providing support to Member States, IGOs, civil society, and other stakeholders and assisting them in the identification of feasible approaches; and,

- Developing and maintaining practical IP-based mechanisms and tools for addressing global challenges

Developing objective and balanced information on the relationship between global challenges and innovation and technology transfer 18.5. Under this strategy, the Program will bring together constituencies to explore ideas and options. Both internal and external policy studies will be pursued on topics such as the role of IP and IP management in technology transfer in addressing global challenges. The studies will constitute the basis for further discussions at conferences and symposia to allow for a wide input of ideas and a concurrent broad sharing of outcomes. 18.6. In addition, substantive analyses, in the form of reports and briefs, should: lead to a better understanding of the policy and strategic drivers of innovation; demonstrate proactively the use of IP tools; and, support Member States’ understanding of technology transfer. 18.7. In order for WIPO to realize the full potential of addressing the interface between IP and global policy issues, it must ensure the trust of potential partners by providing significant contributions that not only move debates forward in terms of better understanding of the issues, but also generate confidence as to the impartiality of its contributions.

129


18.8. This part of the strategy will be implemented in close cooperation with, in particular, Program 1 (Patent Law), Program 14 (Services for Access to Information and Knowledge), Program 19 (Communications) and Program 20 (External Relations, Partnerships and Offices). Providing support to Member States, IGOs, civil society, and other stakeholders and assisting them in the identification of feasible approaches 18.9. The activities above will provide the substantive foundation for assistance related activities. To this end, information tools on important issues in the context of IP, health, environment and food security will be developed that provide a neutral and objective analysis for the benefit of Member States and other interested stakeholders. Also, in response to requests from Member States, IGOs, civil society, and other stakeholders, the Program will provide input, as appropriate, in fora where innovation and IP are discussed in the context of health, climate change, and food security. Ensuring WIPO’s constructive engagement in relevant public policy processes provides support to other actors and helps establish WIPO as the forum and reference point on IP as it touches on global public policy issues. 18.10. This work will be implemented in close cooperation with Program 20 (External Relations, Partnerships and Offices) to ensure systematic engagement with the full range of IP issues currently debated in international and national fora and, in particular, a reinforced cooperation with other UN agencies, in line with Recommendation 40 of the DA. Cooperation with Program 9 (Africa, Arab, Asia and the Pacific, Latin America and the Caribbean Countries, Least Developed Countries) and Program 10 (Cooperation with Certain Countries in Europe and Asia) will ensure that activities are targeted to the needs of developing countries, LDCs and countries with economies in transition. Developing and maintaining practical IP-based mechanisms and tools for addressing global challenges 18.11. The core element of this part of the strategy will be to facilitate the technology transfer relevant to health, climate change and food security. Initiatives will build on partnerships and collaborations and explore the use of open innovation structures, networked innovation, and other forms of partnerships to accelerate their impact in developing countries. 18.12. Together with external partners, technology sharing tools to facilitate the diffusion and transfer of both climate and health related technologies from developed to developing and least developed countries will be explored, consistent with the goals of the DA, in particular Recommendations 19 (access to knowledge and technology), 25 (transfer of technology) and 30 and 42 (cooperation with other IGOs and NGOs). Program 1 (Patent Law) will be a partner in this endeavor. IP AND COMPETITION POLICY PLANNING CONTEXT 18.13. Two additional areas covered by Program 18 include IP and Competition Law and Unfair Competition.

18.14. WIPO’s activities concerning Intellectual Property and Competition Policy (IP&CP) are guided by the relevant DA Recommendations, in particular Recommendations 7, 23 and 32. A number of activities, namely those concerning the exchange of experiences and assistance to Member States in addressing the interface between IP and CP, which started in the previous biennium, will be continued and further expanded in 2012/13. The main objective is to generate information and raise awareness about the interface of IP and CP and to identify international trends that Member States can use in devising development-oriented national policies. 18.15. Work on IP&CP is linked to Strategic Goal VII since ensuring the operation of a pro-competitive IP regime is a “global” issue which, in globalized markets, transcends national borders. However, because of its specific reference in Recommendations 7, 23 and 32, work on IP&CP is also connected with Strategic Goal III. Ensuring the freedom of markets is a strong catalyst for development, and IP is an important component in that endeavor. Moreover, competition law is increasingly being perceived as an important component in a balanced IP system but there is currently

130

Strategic Goal VII

no international forum to explore this interface. Accordingly, efforts will aim at raising the profile of WIPO as the relevant forum for debating issues at the interface between IP and CP. IMPLEMENTATION STRATEGIES AND RISKS

18.16. The achievement of results in both fields will depend on obtaining reliable data by means of studies and surveys. Activities will be oriented towards acquiring a better factual understanding of the issues. Moreover, an intensive dialogue with authorities and stakeholders in Member States will be initiated by means of conferences, seminars, workshops. These activities will engage the whole of Program 18 and will be carried out in close cooperation with Programs 1, 9 and 10.

18.17. The major risk for both areas of activities involving IP and Competition is the eventual failure to obtain reliable data. Without reliable data, the achievement of expected results would be greatly jeopardized. The strategy to mitigate that risk is to maintain close interaction with the broadest spectrum possible of stakeholders, including national and regional IP and competition authorities, as well as relevant IGOs and NGOs. At the same time, this strategy will generate a perception that the Secretariat, in engaging in these complex and sensitive issues, is capable of maintaining its neutrality. RESULTS FRAMEWORK



References to WIPO's work in the area of global challenges in other policy processes Increased use of material from the Global Challenges website

Tbd No. of downloads (tbd end 2011)

References in all processes 50% increase

Feedback from participants in policy fora

Positive feedback from key participants

Sustained positive feedback from key participants


No. and diversity of specific requests from Member States and international organizations for WIPO contributions on IP in relation to global public policy issues

One formal request (WHO)

One-two requests per year

IP-based tools are used for technology transfer from developed to developing countries, particularly least developed countries, to address global challenges

No. of participants in IP-based platforms No. of transactions concluded using the platform(s)

0 0

8-10 participants 10 transactions concluded


No. of countries requesting WIPO’s specific contributions on IP in relation to competition law-related issues

Two requests (as of December 2010)

Six requests (in 2012/13)

No. and diversity of stakeholders (IP offices, competition authorities, relevant IGOs and NGOs) engaged in dialogue with WIPO

Engagement with five national competition authorities (from three Member States) and three IGOs

Stakeholders engaged in WIPO’s Global Forum: 15 national authorities and 5 NGO’s

131




tranfers 1


VII.1


1,040

VII.2WIPO established as a credible source of support, assistance, and reference for information on innovation and IP in relevant public policy processes

2,149


2,198

VII.4 WIPO established as the relevant Forum for analyzing and debating issues in the field of IP and competition policy 1,381

Total 5,559 6,768



18.18. The figures for 2010/11 Budget under personnel costs represent actual expenditure for 2010 and budgeted amounts based on standard costs for 2011. The budget for 2012/13 is prepared using standard costs for the next biennium. The increase in budgeted amount under Posts for Program goes beyond the statutory increases incorporated in the standard costs as a result of a lower base in 2010 actual expenditure due to vacancies in the Program. 18.19. Increases in non-personnel resources are mainly related to the proposed allocation of resources for IP and Competition Policy (350 thousand Swiss francs) under the Program, which were covered under the related DA project in 2010/11. The remaining non personnel increases in other Program activities are primarily aimed at developing, maintaining, improving and operationalizing the two “technology innovation and transfer tools”, or platforms, in climate change (WIPO Green) and health (WIPO Re: Search). An amount of about 100 thousand Swiss francs each is foreseen for the further development and maintenance of the two databases as well as addition of new features and improvements respectively. An additional 125 thousand Swiss francs is foreseen for the strengthening of support services. All of these increases are directly related to making solutions, technologies and intellectual property, in the broad sense, more readily available to address specific needs of developing countries, most notably LDCs. Each of the projects to be carried out under the Program has impact on various cost categories, the major increases relate to “Contractual Services” as well as travel expenses which are due to the projected advancement in the development of these platforms.

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Strategic Goal VII

Program 18



A. Personnel ResourcesPosts 3,464 6,063 3,794 4,316 521 13.7%Short-term Professional n/a n/a n/a 984 n/a n/aShort-term General Service n/a n/a n/a 213 n/a n/a[Consultants] 269 1,174 1,097 n/a n/a n/a[Short-term Employees] 411 909 197 n/a n/a n/aInterns - 33 20 -- (20) -100.0%

Total, A 4,144 8,180 5,107 5,513 406 7.9%


Staff Missions 302 420 98 348 250 255.1%Third-party Travel 396 706 49 124 75 153.1%

Sub-total 698 1,126 147 472 325 221.1%Contractual Services

Conferences 60 78 32 129 98 309.5%Experts' Honoraria 109 199 40 70 30 75.0%Publishing 74 79 50 95 45 90.0%SSA & Commercial Services 202 337 136 375 239 176.4%

Sub-total 445 692 257 669 412 160.1%Operating Expenses

Communication n/a n/a n/a 45 n/a n/aRepresentation n/a n/a n/a 35 n/a n/a[Communication and Other] 39 61 35 n/a n/a n/a

Sub-total 39 61 35 80 45 128.7%Equipment and Supplies

Furniture & Equipment -- -- -- 9 9 n/aSupplies & Materials 28 28 12 25 13 108.3%

Sub-total 28 28 12 34 22 183.3%Total, B 1,210 1,907 451 1,255 804 178.2%

TOTAL 5,354 10,087 5,559 6,768 1,209 21.8%POSTS2 9 17 11 11 --

Amount %






133


STRATEGIC GOAL VIII

A RESPONSIVE COMMUNICATIONS INTERFACE BETWEEN WIPO, ITS MEMBERS AND ALL STAKEHOLDERS

This Strategic Goal signals the high priority which the WIPO Secretariat attaches to effective communication as an essential enabler of success in every aspect of its work, and to service as a core, corporate value. WIPO provides diverse services to a wide range of stakeholders – first and foremost, as a United Nations Specialized Agency, to its Member States. Such services include support to the Committees in their normative activities, capacity building services to developing countries, information and technical services, as well as the global IP registration, filing and dispute resolution services.


More effective communication to a broad public about intellectual property and WIPO’s role

No. of press articles on WIPO's work Availability rate of WIPO core publications in all official UN languages

Program 19

Program 19

Number of views (on average) per WIPO video on YouTube

Program 19

No. of downloads (on average) per WIPO publication Program 19

No. of countries with reported World IP Day events and activities

Program 19

No. of external information requests serviced by the WIPO Library

Program 19

% of stakeholders with a positive recognition of WIPO’s mission, activities and organizational image

Program 19

Improved service orientation and responsiveness to inquiries

Customer/stakeholder satisfaction rate Processing time of information inquiries handled through ticketing system

Program 19

Program 19

WIPO effectively interacts and partners with UN and other IGO processes and negotiations

Use of WIPO’s contributions in reports, resolutions and documents from targeted processes.

Program 20

Feedback on WIPO’s contribution/participation in UN and other IGO processes and fora.

Program 20

% of responses to external requests for contributions from the UN, IGOs, etc, submitted on time

Program 20

No. of joint activities/workplans implemented and reviewed in line with agreements with partner organizations (new and existing MoU’s with IGOs)

Program 20

New joint initiatives with other UN agencies Program 21

Open, transparent and responsive interaction with NGOs

No. of briefing sessions and meetings/activities organized for NGOs

Program 20

No. of briefing sessions/activities organized for developing country and LDC NGOs

Program 20

Effective engagement with Member States % of Committee Meetings for which pre-Committee information meetings for MS are held

Program 21

% of letters to the DG from Member States are responded to within 2 weeks

Program 21

Member States satisfaction levels with the preparation and functioning of the Assemblies

Program 21

Timeliness of publication of Assembly documents Program 21

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Strategic Goal VIII

PROGRAM 19 COMMUNICATIONS PLANNING CONTEXT 19.1. The increased value of knowledge in the global economy has placed IP in the limelight, bringing a sharper focus on the workings of the IP system and its role with respect to innovation, culture, development, and access to knowledge. High policy interest, a public debate in which views are often polarized, and the need for reliable, objective information to increase understanding about IP, present an on-going communications challenge for WIPO. The Organization must continue to improve the clarity and consistency of the messages it delivers, the value of the content it produces for a diverse public, and the effectiveness of its dissemination. 19.2. Awareness of WIPO’s own role and organizational identity remains relatively low. To optimize delivery of its mandate, there is a need for greater visibility, coupled with wider recognition of WIPO’s role in encouraging innovation and creativity; in facilitating multilateral dialogue on IP issues; and, as the primary, trusted provider of international IP expertise, information and services. 19.3. Improving both quality and timeliness of WIPO’s communications output will remain a challenge in 2012/13. Internal coordination procedures and editorial policies, introduced for this purpose during the previous biennium, will require consolidation. In order to respond effectively in today’s fast moving global media environment, and to exploit the opportunities presented by the exponential growth of new communications platforms, the Secretariat will need to build up a multilingual communications skills base, particularly in flexible content creation, web and new media management, media production, and marketing. 19.4. Program 19 makes a significant, on-going contribution to development goals by providing technical assistance “for promoting a, inter alia, development-oriented IP culture, with an emphasis on introducing IP at different academic levels and on generation of greater public awareness on IP” (DA Recommendation 3). This includes servicing the strong demand from developing countries and LDCs for public outreach and educational materials, as well as for advice in conducting national IP awareness-raising campaigns. The challenge is to enhance the impact of this assistance and ensure consistency with national policy objectives through a more coordinated approach.

19.5. Communication is also an essential element of service delivery. WIPO must improve its understanding of the needs and expectations of its diverse stakeholders. During 2012/13, the Organization must build on foundations laid in the previous biennium to foster a culture of service orientation supported by improved technical infrastructure. IMPLEMENTATION STRATEGIES AND RISKS 19.6. Within the wider Strategic Goal VIII results framework of the MTSP, the work of Program 19 in 2012/13 should result in more effective communication about IP and about WIPO’s own role. (Program 19 has primarily responsibility for broad public communication, whereas enhanced communication between the Secretariat and Member States’ delegates on WIPO’s work program is led by Program 21, Executive Management). The success of the Program’s contribution will be measured through increased numbers of consumers of WIPO public information materials, including publications, videos, press communications and web-based resources, as well as through the number of Member States which conduct World IP Day activities and use WIPO’s outreach products and services in their national strategies. Successful communication will also result in increased visibility in international media, and in positive recognition by stakeholders of WIPO’s “brand” image. The WIPO Secretariat’s improved responsiveness in handling external enquiries will result in an increased stakeholder satisfaction rate. 19.7. Strategies led by Program 19 to achieve these results will include the following:

(i) Internal coordination. A more strategic approach to communications will be fostered across the Organization, supported by a cross-sectoral Communications Group. Organization-wide policy guidelines, procedures and standards, covering publications, web publishing, and other communications, in the six official UN languages as well as other national

135


languages when possible, will help ensure that WIPO information materials meet standards of quality, impact and need.

(ii) Enhanced delivery. Content will be delivered through diverse communications channels and platforms in order to reach new and bigger audiences. The content, presentation and usability of the WIPO website will be reviewed and significantly developed. The potential offered by new media will be further leveraged. An expanded, text-searchable electronic platform for publications will be developed by the WIPO Library and delivered to an international audience of interested IP researchers. WIPO video footage will be disseminated via DVD, television networks and multiple social media platforms.

(iii) Quality content. In order to ensure the provision of high quality content in all official languages and which respond to identified needs, existing publications will be reviewed and gaps identified in the product range. The pattern of demand for WIPO publications will be monitored to establish a logical order of priority for production. A reinstated editorial board will contribute to the objective of producing fewer publications but of higher quality and utility. The look and content of the WIPO Magazine will continue to be enhanced, taking account of reader feedback. The IP Advantage database of IP case studies, developed under the DA framework, will be expanded as an online resource. The Film and Multimedia Section will evolve into a video-centered production studio, which will produce targeted, informative and engaging content, including interviews, news content, documentaries, IP success stories and promotional spots.

(iv) Increasing visibility. The network of journalists around the world who produce well informed reporting on WIPO and IP issues will be expanded, and the Program will reach out proactively to influential press, blogs and online media, with the aim of positioning WIPO in the media as the world reference source of reliable information on all IP issues. The strategic communications value of major WIPO events and projects, and of the Director General’s speaking engagements, will be exploited systematically. The Organization will also engage the local community in Open Day and other outreach events.

(v) Integrating IP outreach into national strategies. In order to increase public understanding of IP in relation to innovation and creativity, Program 19 will work closely with the Regional Bureaus to assist Member States and stakeholder groups, particularly in developing and least developed countries, wishing to conduct outreach campaigns and activities. Program 19 will provide access, inter alia, to expert advice, outreach guides, educational materials for young people, the WIPO Awards, the WIPO Depository Library program, and online tools, such as the database of outreach campaigns. In order to increase impact and to ensure alignment with national development goals, importance will be given to integrating outreach assistance within the broader framework of National IP and Innovation Strategies.

(vi) Organizational Identity. WIPO’s organizational identity, in line with its mission, mandate and values, will be projected more consistently in order to achieve increased positive recognition by stakeholders. The core skills and expertise needed to promote recognition of WIPO’s “brand” identity will be acquired through consultancy services, as well as through training, redeployment and recruitment of personnel. This will be conducted within the SRP project framework.

(vii) Service-oriented Culture. The service orientation of staff will be improved through training and awareness activities adapted to the individuals’ responsibilities. Responsiveness to enquiries will be improved through the provision of new call tracking and customer management tools, the redefinition of operational procedures and the establishment of quality standard policies.

19.8. Principal risks which could prevent achievement of the expected results within the biennium include: insufficient human resources with the required skills sets and resistance to change. Mitigation strategies would include ensuring that new team members are multi-skilled; seeking public or private sector partnerships; and strengthening internal communication and consultation to leverage cross-sectoral engagement.

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Strategic Goal VIII

RESULTS FRAMEWORK


More effective communication to a broad public about intellectual property and WIPO’s role

No. of press articles on WIPO's work

6,226 (2008/09)

5% increase

Availability rate of WIPO core publications in all official UN languages

63.8% ≥ 70%

Number of views (on average) per WIPO video on YouTube

414 per video (April 26 to December 31, 2010)

10% increase

No. of downloads (on average) per WIPO publication

Tbd 5% increase

No. of countries with reported World IP Day events and activities

Tbd ≥ 75 countries

No. of external information requests serviced by the WIPO Library

270 (2008/09)

10% increase

% of stakeholders with a positive recognition of WIPO’s mission, activities and organizational image

Tbd ≥ 70%

Improved service orientation and responsiveness to inquiries

Customer/stakeholder satisfaction rate

Tbd ≥ 70% satisfied or highly satisfied

Processing time of information inquiries handled through ticketing system

Data from Sep to Dec 2011

≥ 90% within 3 working days



tranfers 1


VIII.1 More effective communication to a broad public about intellectual property and WIPO’s role 13,664

VIII.2 Improved service orientation and responsiveness to inquiries 2,935

Total 15,836 16,599



19.9. The figures for 2010/11 Budget under personnel costs represent actual expenditure for 2010 and budgeted amounts based on standard costs for 2011. The budget for 2012/13 is prepared using standard costs for the next biennium. The increase in budgeted amount under Posts for Program goes beyond the statutory increases incorporated in the standard costs as a result of a lower base in 2010 actual expenditure due to vacancies in the Program. In addition, one post was transferred from another Program. 19.10. The Program covers a broad range of communication and outreach related activities. The overall proposed decrease (1.5 per cent compared with the 2010/11 budget after transfer) in the non-personnel resources is a combination of increases and decreases across various costs categories. On the decreases, the reduction under “Conferences” reflects the adjustment of the budget to better reflect actual expenditure patterns. The decreases under “Equipment and Supplies” reflect one-off expenses related to the creation of the Customer Service Section, the launch of the Customer Service Center and the equipment for the new video studio in 2010/11. As regard the reduction under the “Operating Expenses”, this relates to a transfer of such resources to the “Contractual Services” category, to better reflect the nature of the services required.

137


19.11. As regards increases, those under “Staff Mission” mainly cover the provision for media support to the Director General. The increase under “Third-party Travel” relates to the organization of a seminar for journalists from developing countries previously budgeted under Program 9. The increase under “Publishing” is related to the digitization program of WIPO publications conducted by the WIPO Library. The increase under “SSA and Commercial Services” relates respectively to graphist and designers services required to increase the availability of WIPO core publications in the six official languages, to expenses related to the customer interface/experience SRP initiative, and expenses linked to the further development of the WIPO organizational image.

Program 19



A. Personnel ResourcesPosts 10,585 10,430 11,209 779 7.5%Short-term Professional n/a n/a 798 n/a n/aShort-term General Service n/a n/a 1,292 n/a n/a[Consultants] 269 134 n/a n/a n/a[Short-term Employees] 1,899 1,871 n/a n/a n/aInterns 48 50 -- (50) -100.0%

Total, A 12,801 12,486 13,299 814 6.5%


Staff Missions 225 215 255 40 18.6%Third-party Travel 60 89 141 52 59.0%


Conferences 47 82 25 (57) -69.3%Experts' Honoraria 75 75 -- (75) -100.0%Publishing 135 135 264 129 95.6%SSA & Commercial Services 799 1,466 1,815 349 23.8%


Communication n/a n/a 54 n/a n/aRepresentation n/a n/a 15 n/a n/a[Communication and Other] 379 371 n/a n/a n/a



Sub-total 934 918 731 (187) -20.4%Total, B 2,654 3,350 3,300 (50) -1.5%

TOTAL 15,455 15,836 16,599 763 4.8%POSTS2 33 32 33 1

Amount %






138

Strategic Goal VIII

PROGRAM 20 EXTERNAL RELATIONS, PARTNERSHIPS AND EXTERNAL OFFICES

PLANNING CONTEXT 20.1. This Program focuses on maintaining and strengthening WIPO’s relations with the United Nations (UN), other intergovernmental organizations, non-governmental organizations and associations and WIPO’s partnership building activities in particular the coordination and implementation of WIPO’s resource mobilization strategy. 20.2. IP rights continues to be an increasingly critical factor in a wide range of international public policy discussions that take place in UN and other intergovernmental negotiations and processes. Within these processes, there is a strong demand for evidence based information on the IP system. Understanding this external environment and engaging with it based on a well-informed, strategic and results-based approach is a key priority for the successful achievement of WIPO’s strategic goals, in particular VII and VIII. It also helps ensure that WIPO meets its obligations as a member of the UN system, to serve the broad needs of the international community, especially in terms of meeting the needs of developing countries and least developed countries and contributing to a balanced and better informed international policy making process as it relates to IP, in line with the relevant WIPO Development Agenda Recommendations. 20.3. As the specialized UN agency leading on IP, WIPO is increasingly called upon to make such a contribution. The challenge for Program 20 is to ensure that this contribution responds effectively to the needs of UN and other intergovernmental processes and partners; that it reflects a clear understanding of the global public policy issues discussed in other fora; that it is well-targeted; that it takes account of the perspectives of all stakeholders engaged in these processes; that it responds to the needs of developing countries and LDCs and reflects the principles and recommendations of the WIPO Development Agenda. Through the identification, development and implementation of strategic external partnerships WIPO can make a valued and positive difference, particularly in terms of meeting the needs of developing countries, especially LDCs, in ensuring broader development benefits from the IP system. 20.4. Ensuring that developing countries and LDCs have the resources to maximize their use of IP for development is a central message of the WIPO Development Agenda. Development Agenda Recommendation 2 expressly calls for “providing additional assistance to WIPO through donor funding, and establish Funds-in-Trust or other voluntary funds within WIPO specifically for LDCs, while continuing to accord high priority to finance activities in Africa through budgetary and extra-budgetary resources, to promote, inter alia, the legal, commercial, cultural, and economic exploitation of IP in these countries.” Following the WIPO Conference on Building Partnerships for Mobilizing Resources for Development (November, 2009), organized in direct response to DA Recommendation 2, implementation of the identified “Next Steps” began in the 2010/11 biennium, including the development of an organizational resource mobilization strategy. The challenge in 2012/13 will be to deliver additional resources to developing countries and LDCs as a complimentary source of support, not as a substitute for regular budget funding of development activities, but as an additional and complementary source of support to help meet the demand for this work, to accelerate the use of IP for development within the context of WIPO’s programs and priorities. To this end, WIPO will leverage its engagement with intergovernmental organizations, bilateral and multilateral donor institutions and charitable foundations to support and coordinate resource mobilization efforts within the Secretariat, as well as supporting WIPO’s developing country Member States to mobilize and access such resources. IMPLEMENTATION STRATEGIES AND RISKS 20.5. Achieving WIPO’s goal of securing its role as the lead UN agency on IP and recognition of WIPO as a trusted and valued partner, depends upon the quality and relevance of the substantive contribution it makes, its responsiveness to the needs of the UN, IGOs, NGOs and associations, and the successful delivery of partnerships which achieve tangible results, in line with DA Recommendations 30, 40 and 42.

139


20.6. To achieve this goal, WIPO will develop strategies of engagement and partnership which ensure the quality and relevance of WIPO’s contribution and which follow the overall guidance of WIPO’s Member States and take account of the views of a wide range of WIPO stakeholders. On this basis the strategic approaches in the biennium include:

- Strengthening relations with key partners such as the United Nations Department of Social and Economic Affaires (UN-DESA), United Nations Development Programme (UNDP), World Trade Organization WTO, World Health Organization (WHO), United Nations Conference on Trade and Development (UNCTAD), United Nations Environmental Programme (UNEP), United Nations Framework Convention on Climate Change (UNFCCC), United Nations Industrial Development Organization (UNIDO), Food and Agricultural Organization (FAO), International Telecommunications Union (ITU) and United Nations Educational, Scientific and Cultural Organization (UNESCO), and coordinating the implementation of joint projects and activities agreed with those organizations.

- Coordinating timely and high quality WIPO contributions in response to requests from UN organizations and other IGOs and NGOs.

- Monitoring and reporting on negotiations, processes and discussions in UN and other intergovernmental fora of major relevance and priority to WIPO, identifying opportunities where WIPO can make a valued contribution and coordinating the substantive input and participation from relevant WIPO Programs.

- Developing institutional arrangements and practical partnerships focused on concrete joint activities with NGOs and the creation of mechanisms which improve the way WIPO engages and interacts with the positions and views of civil society.

- Developing and coordinating the implementation of a resource mobilization and partnership strategy which is aimed at increasing the availability of resources to WIPO Member States for IP projects for development building on the “Next Steps” of the Conference on Building Partnerships for Mobilizing Resources for Development (November 2009) as reported to the CDIP. This work will include partnerships with the private sector based on guidelines to be approved by Member States, prepared according to the best practices in the UN system as well as the promotion and use of the WIPO Matchmaking Database which has been developed as a CDIP project.

EXTERNAL OFFICES 20.7. Each of WIPO's external offices will, within its respective host country and in the surrounding region operating in a similar time zone, provide services in support of WIPO's Global IP Services (Strategic Goal II), as well as capacity-building services in coordination with the respective regional bureau (Strategic Goal III). In addition the following specific strategies for the external offices will be implemented. The future role of external offices is subject to ongoing consultation process with Member States. WIPO New York Office (NYO)

20.8. The Office will support, in particular, engagement with the United Nations and its programs. WIPO Brazil Office (WBO)

20.9. The WIPO Brazil Office (WBO) is supporting the implementation of activities contributing to Strategic Goal III with a special focus on: strengthening the use of the IP system in general and of WIPO services in particular in Brazil and in other developing countries having cooperation programs with Brazil;

140

Strategic Goal VIII

20.10. The WBO manages the Funds-in-Trust Agreement between the Government of Brazil and WIPO, which, inter alia, aims at promoting an IP culture among national and international institutions and users through initiatives involving collaboration among developing countries within and outside the Latin American region, while making use of Brazilian expertise in the field of IP. WIPO Singapore Office (WSO)

20.11. The WIPO Singapore Office (WSO) acts as a service center in the Asia Pacific region, particularly focusing on the sub-region of the Association of South East Asian Nations (ASEAN). WIPO Japan Office 20.12. The WIPO Japan Office, established in 2006, supports activities under the funds-in-trust established at WIPO by Japan (FIT/JP). WIPO will continue its close cooperation with Japan in using resources and expertise made available by FIT/Japan for the implementation of activities contributing to Strategic Goal III (Facilitating the Use of IP for Development). RESULTS FRAMEWORK



Use of WIPO’s contributions in reports, resolutions and documents from targeted processes


Feedback on WIPO’s contribution/participation in UN and other IGO processes and fora

Data not available Positive ratings of WIPO’s contribution/ participation

Percentage of responses to external requests for contributions from the UN, IGOs etc, submitted on time


No. of joint activities/workplans implemented and reviewed in line with agreements with partner organizations (new and existing MoU’s with IGOs)

Data not available Activities: 8 Workplans: 4

Open, transparent and responsive interaction with NGOs

No. of briefing sessions and meetings/activities organized for NGOs

Data not available 4

No. of briefing sessions and meeting/activities organized for developing country and LDC NGOs

Data not available 4

Increased extra-budgetary resources available for IP for development, either through direct contributions to WIPO or access to other external funding mechanisms

An increase in funds available through Fund in Trust arrangements

See FMR 2010/11 10%

No. and financial value of WIPO implemented projects funded by existing external donor funded mechanisms

No data Five projects Total Value: Sfr 2 million

Establishment of WIPO Guidelines for Partnership with the Private Sector

Draft under preparation for consultations

Approval by Member States of WIPO Guidelines

141




tranfers 1


II.1 Informed strategic use of the PCT by all innovators who could potentially benefit from it 661

II.8 Better use of the Madrid & Lisbon systems, including by developing countries and LDCs 738

III.2


3,053

III.10Increased extra-budgetary resources available for IP for development, either through direct contributions to WIPO or access to other external funding mechanisms

1,769


135

VIII.3 WIPO effectively interacts and partners with UN and other IGO processes and negotiations 3,362

VIII.4 Open, transparent and responsive interaction with NGOs 1,194

Total 11,350 10,912



20.13. The figures for 2010/11 budget under personnel costs represent actual expenditure for 2010 and budgeted amounts based on standard costs for 2011. The budget for 2012/13 is prepared using standard costs for the next biennium. 20.14. The reductions in non-personnel resources are primarily due to the transfer of charges related to UN common services (e.g. JIU, CEB) from Program 20 to other responsible programs in 2012/13. 20.15. The increase under “Staff Missions” relates to increased engagement by WIPO in UN system processes and negotiations. The increase under “Conferences” relates primarily to resource mobilization and partnerships activities such as the organization of regional donor events, in follow up to the WIPO Conference on Building Partnerships for Mobilizing Resources for Development.

142

Strategic Goal VIII

Program 20



A. Personnel ResourcesPosts 8,083 6,682 6,735 53 0.8%Short-term Professional n/a n/a 160 n/a n/aShort-term General Service n/a n/a 659 n/a n/a[Consultants] 269 135 n/a n/a n/a[Short-term Employees] 595 706 n/a n/a n/aInterns 48 32 -- (32) -100.0%

Total, A 8,994 7,555 7,554 (1) 0.0%


Staff Missions 642 903 1,091 188 20.8%Third-party Travel 30 410 251 (159) -38.8%

Sub-total 672 1,313 1,342 29 2.2%Contractual Services

Conferences 44 290 580 290 99.8%Experts' Honoraria 10 25 14 (11) -42.4%Publishing 10 90 30 (60) -66.7%SSA & Commercial Services 32 157 -- (157) -100.0%


Premises & Maintenance 739 1,030 1,067 37 3.6%Communication n/a n/a 136 n/a n/aRepresentation n/a n/a 48 n/a n/a[Communication and Other] 760 806 n/a n/a n/a



Sub-total 49 86 142 56 65.5%Total, B 2,315 3,795 3,358 (437) -11.5%

TOTAL 11,309 11,350 10,912 (438) -3.9%POSTS2 18 15 15 --

Amount %






143


STRATEGIC GOAL IX

EFFICIENT ADMINISTRATIVE AND FINANCIAL SUPPORT

Strategic Goal IX is the second of two enabling goals. It reflects and responds to the needs of the Organization as a whole for an administrative, financial and management support structure focused on enabling program delivery, with efficiency and transparency as guiding principles. This strategic goal also covers the broad institutional reform (the Strategic Realignment Program) that will enable WIPO to provide better, more efficient and cost-effective support and to achieve enhanced performance.


Effective, efficient, quality and customer-oriented support services both to internal clients and to external stakeholders (human resources, IT, conference, language, procurement, travel, printing and publication, premises management)

Cost savings for goods and services procured by WIPO (derived from RFPs, negotiations, or UN globalization actions) % of internal clients satisfied with procurement services % of spend subject to UN leverage or benchmark

Program 24

Program 24

Program 24

Processing time of e-Travel Authorization (TA) and e-Event Request (subject to respected deadline)

Program 24

Processing time for 3rd party visas Program 24

Reduction in travel costs as a result of e-conferences and video conferences

Program 24

Ratio of employees (full time equivalent) to human resources staff

Program 23

% of staff satisfied with HR services Program 23

Productivity rate for calculations, data input and collection and provision of statistics (mail delivery)

Program 27

% of PCT Media batch in paper and electronic format on time

Program 27

% of Madrid Notifications in paper format on time Program 27

% of Madrid Romarin in electronic format on time Program 27

% of internal and external users satisfied with WIPO's conference services

Program 27

Translation productivity standards and cost per page of translation

Program 27

A comprehensive language policy adopted by Member States together with related resource allocation requirements

Program 27

Outsourcing in operation and provision of IT technical infrastructure

Program 25

WIPO meetings are accessible real-time over the Internet or after the event

Program 25

No. of communication channels seamlessly integrated Program 25

Rental of additional workplaces and related facilities (assuming same headcount as end 2011)

Program 24

No. of main technical installations (electrical, sanitary, heating and cooling) improved in line with applicable standards (to be defined)

Program 24

144

Strategic Goal IX


ICT investments are closely aligned with strategic priorities and yield business benefits

% of projects having benefit realization assessed post project implementation

Program 25

Maturity level of ITIL implementation based upon the official self-assessment on scale 5

Program 25

Efficient and effective results-based programmatic and financial planning, processing, implementation, assessment and reporting

% of WIPO Programs using performance data for managing Program performance

Program 22

% of (WIPO) respondents who perceive that WIPO is accountable for its results

Program 22

Financial operations and budget management conform to the provisions of the applicable WIPO conventions and treaties, the WIPO Financial Rules and regulations and applicable accounting standards

Program 22

Satisfactory financial report from the External Auditors confirms the conformity of accounting operations with applicable regulations, rules and standards

Program 22

Well managed, diversified, motivated and appropriately skilled professional workforce

% of staff whose performance is evaluated against their individual objectives and competencies

Program 23

Recruitment lead time Program 23

% of total mass salary invested in staff development Program 23

Geographical diversity - % of Member States represented

Program 23

% of women in professional and higher positions Program 23

Decreased absenteeism Program 23

Decreased appeals Program 23

WIPO staff, delegates, visitors and information and physical assets are safe and secure

% of WIPO staff, delegates and visitors reporting a work related injury or incident

Program 28

% of timely requests for safety & security assistance at conferences or events held in or outside of Geneva

Program 28

Comprehensiveness and relevance of the set of information security policies, procedures and standards

Program 25

Up-to-date information security risk registry Program 25

Costs related to the new administrative building are kept to a minimum

Use of remaining funds available under the approved consolidated budget and provisions during the construction guarantee period

Program 29

New conference hall and related facilities available for meetings of Member States

Construction of new conference hall and related facilities in compliance with the approved quality, budget and time framework

Program 29

Enhanced coordination and coherence within the Secretariat

Completion of the SRP Program 21

Achievement of SRP Value Level Outcomes Program 21

% of queries for legal advice which receive prompt, independent and reliable responses from the Office of the Legal Counsel

Program 21

% of adherence notifications processed in a timely manner

Program 21

Improved working environment supported by enabling regulatory framework and effective channels to address staff concerns

% of users satisfied with standard of service obtained from Ombuds-Office

Program 21

145



No. of staff aware of WIPO ethical principles and policies

Program 21

Reduced impact of WIPO’s activities on the environment

No. of Programs with environmental improvement indicators, baselines and targets.

Program 24

% of reduction in carbon emissions in respect of energy consumption (in relation to WIPO buildings)

Program 24

Improved physical access to the WIPO Campus

No. of relevant Programs with physical accessibility indicators, baselines and targets

Program 24

An effective and professional internal audit function is in place covering all high risk work areas

No. of audits performed in high risk areas The professional standards, code of ethics, and practice advisories of the Institute of Internal Auditors (IIA) are applied

Program 26

Program 26

Complete and accurate tracking of the implementation of oversight recommendations, showing all historical recommendations made, new ones added and their status

Program 26

Investigation reports provide a sound basis for decision making by the Director General.

Investigation activity is carried out in accordance with the Internal Oversight Charter, UN Uniform Guidelines for Investigation, the Investigation Procedures Manual and the Investigation Policy (currently in draft).

Program 26

Evidence-based evaluative information is available to senior management, program managers and Member States for decision making

Evaluations are produced in line with the Evaluation Policy and Evaluation Section Procedures Manual.

Program 26

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Strategic Goal IX

PROGRAM 21 EXECUTIVE MANAGEMENT PLANNING CONTEXT 21.1. The principal challenge for WIPO’s Executive Management is to provide strategic direction and to lead the change which will enable the Organization to perform efficiently, and deliver its mandate effectively while continuing to observe the concept of neutrality of the Secretariat and upholding the rule of law in the rapidly evolving external environment. 21.2. The overarching framework for organizational improvement will continue to be provided by the Strategic Realignment Program (SRP). During the previous biennium, the definition and planning phase of the SRP was completed and the implementation phase began. In 2012/13, the Senior Management Team (SMT) will aim to build momentum and broad-based ownership to ensure timely completion of the nineteen major initiatives of the SRP, and to achieve the expected results in terms of the Organization’s core values. 21.3. The Program must also continue to lead efforts to strengthen trusted, transparent communication with Member States and other stakeholders in order to facilitate progress towards the nine, shared Strategic Goals. The tight resource constraints and uncertain global economic outlook will heighten the challenge of ensuring an equitable and effective response to the constantly increasing demands which result from growing recognition of the importance of intellectual property to developed and developing economies, while at the same time ensuring that the income-generating services of the Organization are adequately resourced. IMPLEMENTATION STRATEGIES AND RISKS 21.4. The Program will champion and support the implementation of strategies and initiatives that aim at building a delivery-oriented and integrated administration, strengthening management accountability, enhancing ethical conduct and governance responsibility, improving performance in line with WIPO’s Results-based Management (RBM) framework, the MTSP and mainstreaming of the DA. Work within the program will aim to achieve a productive work environment, which reflects organizational values, and is supported by a fair and equitable rules framework, respectful workplace policies and effective channels to address staff concerns. 21.5. The following strategies will be pursued in 2012/13:

(i) Strengthening communication with Member States: Regular, quality communication, consultation and dialogue with Member States will increase the flow of information at all levels, and enhance transparency with respect to program activities.

(ii) Improving internal coherence and efficiency: This will continue to be strengthened through SMT-level coordination processes, management reporting processes, and through implementation of the SRP. The nineteen SRP projects each comprise a set of implementation strategies which will strengthen the Organization’s management culture and its core values. These include the following:

- Service orientation: improving the external interface with all stakeholders; strengthening external communications and organizational identity

- Working as one: strengthening internal communication and organizational culture; ERP implementation to streamline administrative processes; revising the Human Resources regulatory framework.

- Accountability for results: reinforcing results-based management at all levels.

- Environmental, social and governance responsibility: raising understanding of ethics principles and functions; reducing WIPO’s carbon footprint.

(iii) Enhancing the functioning of the WIPO Assemblies: The form and content of the High Level Segment (HLS), which was introduced in 2009 with the objective of elevating the level of political engagement, will be improved for future HLSs, which are expected to be held once every two years. Streamlined internal coordination and planning will contribute to thorough,

147


timely preparation of the Assemblies, and so facilitate the work of Member States in WIPO’s most important governing body.

(iv) Building WIPO’s contribution to the Chief Executives Board (CEB): WIPO will continue to participate as an active player within the UN system, including at the CEB. Its role in providing global leadership on IP issues will be promoted.

(v) Providing prompt independent and reliable legal advice and services: In harmony with statutory requirements and applicable law to facilitate the orderly conduct of business by the Secretariat and the constituent organs of the Organization. Continued development of the WIPO Lex database which is a collection of IP laws and treaties, based on an informed understanding of demand and use.

(vi) Improving the handling of grievances and conflict: The rules and procedures of WIPO’s formal grievance processes will be streamlined. Alternative mechanisms for conflict management will be actively promoted in pursuit of conflict prevention as well as informal conflict resolution.

(vii) Establishing a comprehensive ethics and integrity system: The strategic plan for the recently established WIPO Ethics office will be rolled out, including a draft Code of Ethics, development of the financial disclosure program, introduction of an anti-retaliation policy, and staff training.

21.6. Many of these initiatives are complex, broad in scope and at early stages of implementation. Risks to success include natural resistance to change, initiative fatigue, and competing demands on resources. Particular risks for the timely implementation of the SRP are associated with managing the scale and complexity of the program, requiring intense cross-collaboration between initiatives. The risks will be mitigated through the robust SRP governance and management structure, championed collectively by the Senior Management; as well as through initiatives to specifically address cultural change and internal communication which engage wide staff participation. RESULTS FRAMEWORK


Effective engagement with Member States

% of Committee Meetings for which pre-Committee information meetings for Member States are held

Tbd: No. of information meetings before committee meetings in 2010/11

90% of Committee Meetings

% of letters to the DG from Member States are responded to within 2 weeks

Tbd Average 80%

Member States satisfaction levels with the preparation and functioning of the Assemblies

Data currently not available

85% satisfied with arrangements

Timeliness of publication of Assembly documents

90% published at least two months before Assemblies

All documents published two months before Assemblies

Enhanced coordination and coherence within the Secretariat

Completion of the SRP One out of 19 initiatives completed in 2010

All initiatives completed

Achievement of SRP Value Level Outcomes

See Annex on SRP Baseline Report (URL)

75% of Outcomes achieved (ref: SRP Results Framework Dashboard)

% of queries for legal advice which receive prompt, independent and reliable responses from the Office of the Legal Counsel

100% 95%

148

Strategic Goal IX


% of adherence notifications processed in a timely manner

100% processed within three days

95% processed within three days

% of users satisfied with standard of service obtained from Ombuds-Office


Improved working environment supported by enabling regulatory framework and effective channels to address staff concerns

% of staff aware of WIPO ethical principles and policies

64% +10%


New joint initiatives with other UN agencies

n/a Two

Enhanced access to, and use of, IP-related legal information

Enhanced coverage in WIPO Lex database of IP-related legal information

Limited coverage of regional economic integration treaties (23 of which 13 have been notified to WTO and of bilateral treaties with IP-related provisions (currently 90 of which 40 have been notified to WTO)

Substantial coverage of over 200 regional economic integration treaties and bilateral treaties in the WTO database. Some coverage those outside the database

149




tranfers 1


V.3 Enhanced access to, and use of, IP-related legal information 2,244

VIII.3 WIPO effectively interacts and partners with UN and other IGO processes and negotiations 100

VIII.5 Effective engagement with Member States 5,311

IX.7 Enhanced coordination and coherence within the Secretariat 10,255

IX.8Improved working environment supported by enabling regulatory framework and effective channels to address staff concerns

1,038

Total 18,262 18,948



21.7. The figures for 2010/11 Budget under personnel costs represent actual expenditure for 2010 and budgeted amounts based on standard costs for 2011. The budget for 2012/13 is prepared using standard costs for the next biennium. It should be noted that several units within Program 21 (Assemblies Affairs and Documentation Division, Ethics Office, Ombudsman) were established during the 2010/11 biennium and consequently, their full costs were not incorporated. The costs have been fully accounted for in the 2012/13 resulting in the increases in the 2012/13. A new post has also been transferred to the Program. 21.8. The bulk of the reduction in “Contractual Services” is represented by a reduction in the budget for “Special Service Agreements”. The reduction in SSAs is primarily linked to the implementation schedule of the Strategic Realignment Program (SRP). Phase one of the SRP involved considerable resources for “Contractual Services” for strategic human resource advice, planning of SRP initiatives, development of the SRP roadmap and reformulation of core values. Phase Two of the SRP which commenced in 2010/11 will be far less dependent in 2012/13 on the use of external expert services due to the establishment of the SRP Program Management Office. 21.9. The resource requirements presented in respect of Result - Enhanced access to, and use of, IP-related legal information - include the continuing need for attracting junior to mid-level lawyers (through non-staff contract types) who are desirous of devoting time to studying and becoming thoroughly familiar with the IP legal systems of countries in their geographical region. Through their work they will contribute to ensuring that the IP legal system of a country, as reflected on WIPO Lex, is entirely updated and includes the latest principal or subsidiary IP legislation. This in turn will contribute to WIPO’s ability to provide authoritative, updated and complete legal information concerning IP through this on-line database. 21.10. This increase in “Operating Expenses” relates to WIPO’s engagement with the UN Chief Executives’ Board (CEB) and the promotion of WIPO’s global leadership role on IP issues. In addition, the increase is observed in the allocation for “Representation” in the Office of the Director General acknowledging the enhanced efforts of the Director General to improve engagement and communication with Member States.

150

Strategic Goal IX

Program 21



A. Personnel ResourcesPosts 10,611 13,234 14,218 984 7.4%Short-term Professional n/a n/a 1,636 n/a n/aShort-term General Service n/a n/a 467 n/a n/a[Consultants] 807 939 n/a n/a n/a[Short-term Employees] 844 740 n/a n/a n/aInterns -- 241 100 (141) -58.5%

Total, A 12,262 15,154 16,420 1,267 8.4%


Staff Missions 826 993 705 (288) -29.0%Fellowships -- -- 120 120 n/a

Sub-total 826 993 825 (168) -16.9%Contractual Services

Conferences 10 113 132 19 17.2%Experts' Honoraria 3 3 5 2 66.7%Publishing 12 17 10 (7) -41.2%SSA & Commercial Services 996 1,512 723 (789) -52.2%

Sub-total 1,021 1,644 870 (774) -47.1%Operating Expenses

Communication n/a n/a 28 n/a n/aRepresentation n/a n/a 658 n/a n/aUN Joint Services n/a n/a 100 n/a n/a[Communication and Other] 349 378 n/a n/a n/a



Sub-total 71 92 47 (45) -49.1%Total, B 2,267 3,108 2,528 (580) -18.7%

TOTAL 14,529 18,262 18,948 687 3.8%POSTS2 24 34 35 1

Amount %






151


PROGRAM 22 PROGRAM AND RESOURCE MANAGEMENT PLANNING CONTEXT 22.1. The uncertainty in the global economy, the modest recovery in income growth and the increasing demand for WIPO’s services set the context for this program. The current biennium has seen energetic efforts within the context of the Strategic Realignment Program (SRP) in strengthening: (a) the results-based approach to the management of the Organization’s activities; (b) the management of financial resources; and, (c) internal controls. 22.2. The implementation in 2010/11 of the Strategic Realignment Program’s (SRP) “Strengthening RBM Initiative” and the CDIP RBM Project have been successful in further moving RBM from a conceptual to a more practical level. Advances in Results-Based Management (RBM) have included the development of a Medium Term Strategic Plan for 2010-2015 as well as improvements in operational planning within the context of the Program and Budget 2012/13 and the annual workplans in the 2010/11 biennium. The work done in 2010/11 on establishing a sound planning framework for the 2012/13 biennium is a pre-requisite for establishing appropriate systems and tools to support the effective implementation of RBM within the Organization, including monitoring and performance assessment. 22.3. Initiatives were commenced in 2010/11 to ensure more effective and efficient management of the Organization’s financial resources, the strengthening of internal controls and external oversight, and the compliance with the new accounting standards – the International Public Sector Accounting Standards (IPSAS). They focus on the management of investments and reserves following the adoption by Member States of the new investment and reserve policies, and on establishing the required financial elements of WIPO’s policy and regulatory framework, including in preparation for the Enterprise Resource Planning (ERP) implementation. IMPLEMENTATION STRATEGIES AND RISKS 22.4. A main focus in the biennium will be to ensure that financial and results-based management is fully supported by adequate systems and tools in the ERP. The full integration of WIPO’s financial and RBM systems is essential to ensure that coherent and mutually supportive systems are developed to integrate programmatic and financial planning, monitoring and reporting. This will require, as a first step, that the foundations for the ERP are in place in terms of streamlined, clear and consistent policies, regulations and processes as regards both resource management and organizational performance planning, monitoring and performance assessment. There will be a need to define the delegation of responsibility, authority and accountability that is aligned with the Program/Budget Structure. Additional priorities will include: improved processes to manage and forecast WIPO’s income; institutionalizing a responsible spending culture; enhancing the tracking of development-related expenditure; and, putting in place a stronger system of controls in areas where weaknesses have been identified. 22.5. On the programmatic side, the design and implementation of a monitoring and performance assessment system will proceed with the full participation of managers at all levels to ensure its future usefulness for both internal management and reporting purposes. It will also be guided by DA Recommendation 12, 33 and 38 to ensure that the assessment of development-oriented activities is fully supported. This will require a close cooperation both within Program 22 and between Program 22 and the ERP project. Although the ERP system will not be fully implemented in WIPO by the end of the biennium, the design stage is expected to be completed and implementation underway. Program 22 will also continue to liaise closely with Program 26 (Internal Oversight) to ensure that: (a) external, independent evaluations complement and inform organizational performance assessment mechanisms; (b) gaps in internal controls are identified and addressed in a timely manner; and, (c) there is adequate servicing of oversight bodies. 22.6. Efforts will also continue to be made to improve financial, management and performance reporting both internally and to Member States. The mid-term review of the MTSP which is scheduled for 2013 will further help to strengthen the linkages and coherence between the strategic and operational levels of planning and performance assessment.

152

Strategic Goal IX

22.7. A practical approach will be taken to strengthen the organization’s results culture by providing targeted support to managers at times when they are already having to concentrate on organizational deliverables, such as annual workplans, the Program and Budget, Program Performance Reports and reports of progress at a more strategic level, for example in preparation for the MTSP mid-term review. To this end, a close cooperation with the SRP in Program 21, in particular in relation to the ‘Accountability for Results’ Core Value, will be essential. Within this overall context, specific emphasis will also be given to strengthening the capacities for performance assessment, including of development results in line with DA Recommendation 38. Capacity building efforts in both the financial and programmatic areas will continue during the biennium. 22.8. An eventual continuation of the global economic recession would put a strain on the effective and efficient management of financial resources. It therefore remains critical for WIPO to closely monitor income and expenditure through the internally established Crisis Management Group and the Financial Observatory reporting mechanism to Member States. Additionally, the continuously evolving standards within IPSAS continue to be a risk for IPSAS non-compliance. The biennial budget for the Independent Advisory Oversight Committee (IAOC) is also included in the amount of 737,000 Swiss francs for the 2012/13 budget under Program 22. RESULTS FRAMEWORK


Efficient and effective results-based programmatic and financial planning, processing, implementation, assessment and reporting

% of WIPO Programs using performance data for managing Program performance

20%

50%

% of (WIPO) respondents who perceive that WIPO is accountable for its results

59% 75%

Financial operations and budget management conform to the provisions of the applicable WIPO conventions and treaties, the WIPO Financial Rules and regulations and applicable accounting standards

Existing set of documented policies, rules and procedures

Gaps identified through ERP visioning exercise are filled

Satisfactory financial report from the External Auditors confirms the conformity of accounting operations with applicable regulations, rules and standards

Unqualified report from the External Auditor

Unqualified report from the External Auditor

153




tranfers 1


IX.2Efficient and effective results-based programmatic and financial planning, processing, implementation, assessment and reporting

18,901

Total 17,687 18,901



22.9. The figures for 2010/11 Budget under personnel costs represent actual expenditure for 2010 and budgeted amounts based on standard costs for 2011. The budget for 2012/13 is prepared using standard costs for the next biennium. The increase in budgeted amount under Posts for Program goes beyond the statutory increases incorporated in the standard costs as a result of a lower base in 2010 actual expenditure due to vacancies in the Program. 22.10. The proposed decreases in non-personnel resources are mainly due to the completion of several components of the CDIP approved RBM project. This has affected the proposed allocation of resources under in 2012/13 as compared to the 2010/11 under “Staff Missions”, “Third-party Travel”, “Conferences”, “Experts’ Honoraria” and “Publishing”. The proposed increase of 705,000 Swiss francs under “SSA and Commercial Services” is mainly related to the need for actuarial valuation under IPSAS, mid-term review of the MTSP and Staff training activities to strengthen the implementation of RBM. Furthermore, some expenditure previously shown under “Conferences” (e.g. costs of interpretation for PBC, IAOC meetings) are now included under “SSA and Commercial Services”. The proposed increases under “Operating Expenses” mainly include the rental and maintenance cost of small equipment/machines used by the Income Section to process envelopes and UN charges for IPSAS. The amount of 508,000 Swiss francs under “Administrative and Bank Charges” includes a provision of 388,000 Swiss francs for the External Auditors fees.

154

Strategic Goal IX

Program 22



A. Personnel ResourcesPosts 12,618 13,013 14,393 1,380 10.6%Short-term Professional n/a n/a 160 n/a n/aShort-term General Service n/a n/a 2,207 n/a n/a[Short-term Employees] 2,194 2,249 n/a n/a n/aInterns 48 26 -- (26) -100.0%

Total, A 14,860 15,288 16,760 1,472 9.6%


Staff Missions 108 244 96 (148) -60.6%Third-party Travel 500 668 474 (194) -29.0%

Sub-total 608 911 570 (341) -37.5%Contractual Services

Conferences 329 419 26 (393) -93.8%Experts' Honoraria 26 291 16 (275) -94.5%Publishing 4 25 4 (21) -84.0%SSA & Commercial Services 287 155 860 705 455.8%


Premises & Maintenance 2 2 12 10 500.0%Communication n/a n/a 42 n/a n/aRepresentation n/a n/a 10 n/a n/aAdmin & Bank Charges n/a n/a 508 n/a n/aUN Joint Services n/a n/a 40 n/a n/a[Communication and Other] 152 558 n/a n/a n/a



Sub-total 37 37 53 16 43.2%Total, B 1,445 2,399 2,141 (257) -10.7%

TOTAL 16,305 17,687 18,901 1,214 6.9%POSTS2 40 44 44 --

Amount %






155


PROGRAM 23 HUMAN RESOURCES MANAGEMENT AND DEVELOPMENT PLANNING CONTEXT 23.1. In order to achieve its substantive goals, the Organization must have a well managed and appropriately skilled staff which is working within a robust and enabling regulatory framework supported by clear policies, efficient procedures and modern systems. In this context, many challenges would need to be addressed, in particular: the gap between the current competencies and skills and the competencies required in order to meet the Organization’s future needs, also affected by delays in the current recruitment processes of the Organization; the gender and geographical balance of staff; a regulatory framework in need of updating, including the Staff Regulations and Staff Rules and policies; the need for staff contracts to be aligned with the best practices within the UN Common System; and the need to enhance the efficiency and effectiveness of human resources processes. 23.2. The absence of an integrated technology platform has proven to affect the efficiency and effectiveness of human resources processes. In particular, the current Administrative and Payroll Systems would need replacement and other paper-based processes would require automation. IMPLEMENTATION STRATEGIES AND RISKS 23.3. The priority in the 2012/13 biennium will be to ensure the implementation and continuation of major initiatives, many of which have been initiated in the current biennium, including through the Strategic realignment Program (SRP). These include the further development of the Performance Management and Staff Development System (PMSDS), encompassing staff development activities through training, revision and implementation of Staff Regulations and Staff Rules as well as development of complementary, supporting policies and procedures as appropriate. In addition, processes will be streamlined, including the classification and recruitment processes. Human resource operational services to all stakeholders will continue to be provided and improved, including the processing of benefits and entitlements of staff members and the provision of adequate insurance coverage and medical and welfare services. 23.4. Recruitment will continue to focus on ensuring that the skills gap within the Organization is reduced, while paying due attention to gender balance and geographical distribution. Reducing the length of the recruitment process will be a top priority during the biennium to ensure that WIPO is in a position to attract the best applicants. 23.5. The ERP project is a high priority initiative of this Program. The focus in the biennium will be on ensuring that the design and implementation of the system effectively meets the needs of human resource management as well as senior management to support decision-making, consistent policy application and reporting to Member States. 23.6. Due to interdependencies, several of the human resources improvement initiatives related to the SRP (e.g. to policies, process and systems ERP) depend critically on the revised Staff Regulations and Staff Rules. Delays in approval could significantly impact progress on these initiatives. Senior Management and Staff Council commitment and engagement will play a key role in this process. Regular communication and engagement with staff will ensure good and consistent understanding of the provisions of the revised Staff Regulations and Staff Rules. Transparent and coherent policies and procedures and their consistent application will reduce the risk of staff appeals and grievances. Accessibility to up to date information on regulations, rules, policies and procedures will be enhanced through an online staff manual. Particular attention will be paid to the support needed by newly recruited staff/employees. 23.7. The ability and capacity of the Program to cope with the changes and initiatives while continuing effectively and efficiently to deliver services could be a risk. This will be addressed through the empowerment of human resources leadership, providing Senior Management support, team building, improving internal communications, better definition of roles and responsibilities and delegation of authority and careful planning of activities including those related to the ERP implementation. A comprehensive medium-term human resources plan will developed for this purpose.

156

Strategic Goal IX

RESULTS FRAMEWORK



Reduced time from submission to completion of standard human resources transactions (education grant, dependency allowances) Ratio of employees (full time equivalent) to human resources staff

Three days One HR employee for 31 Organization’s employees (Jan 2011)

Two days One HR employee for 50 Organization’s employees

% of staff satisfied with HR services

Highly satisfied: 30.8%, Satisfied: 48.2 %, Dissatisfied: 17.9%, Highly dissatisfied: 3.1%

50% highly satisfied

Well managed, diversified, motivated and appropriately skilled professional workforce

% of staff whose performance is evaluated against their individual objectives and competencies

62% 90%

Recruitment lead time 24 weeks

21 weeks

% of total mass salary invested in staff development

0.44% (Jan 2011) 1%

Geographical diversity - % of Member States represented

56.70% 60%

% of women in professional and higher positions

P4 – 44.2% P5 - 30.9 % D1 - 12.1 % D2 – 9.1%

50% (as approved by the UNGA following ICSC recommendation)

Decreased absenteeism Average number of sick leave days per employees: 9.6

Average of 5.5 days/employee

Decreased appeals 27 cases 22 cases

157




tranfers 1


IX.1


8,790

IX.3 Well managed, diversified, motivated and appropriately skilled professional workforce 12,703

Total 20,443 21,493



23.8. The figures for 2010/11 Budget under personnel costs represent actual expenditure for 2010 and budgeted amounts based on standard costs for 2011. The budget for 2012/13 is prepared using standard costs for the next biennium. The proposed increases under the Program include the provision of approximately 3.0 million Swiss francs for some of the central items such as Internship, Professional Insurance and Closed Pension Fund Contribution. 23.9. The proposed increase in non-personnel resources under “Staff Mission” is mainly related to increased participation of staff in various UN related human resources fora and travel for training related activities. The increase of “Third-party Travel” mainly relates to Interview travels (large number of vacancies, with recruitment still ongoing and expected to continue in 2012/13). Increases in “Operating Expenses” are mainly due to the transfer of HR related UN common services costs under the responsibility of Program 23. 23.10. A provision has for the first time been included under “SSA and Commercial Services” for maternity and sickness cover, which will be in the form of an outside contract with a temporary employment agency (this increase has been offset by various other reductions under “SSA and Commercial Services”).

158

Strategic Goal IX

Program 23



A. Personnel ResourcesPosts 13,848 13,970 14,325 355 2.5%Short-term Professional n/a n/a 360 n/a n/aShort-term General Service n/a n/a 1,146 n/a n/a[Consultants] 269 459 n/a n/a n/a[Short-term Employees] 1,267 1,595 n/a n/a n/aInterns -- 42 1,000 958 2278.0%

Total, A 15,384 16,066 16,832 766 4.8%


Staff Missions 151 140 213 73 52.0%Third-party Travel 179 176 305 129 73.1%Fellowships 6 4 -- (4) -100.0%


Conferences 7 7 29 22 300.0%Experts' Honoraria 127 130 130 0 0.0%Publishing -- -- 15 15 n/aSSA & Commercial Services 3,007 3,098 2,692 (406) -13.1%


Premises & Maintenance 10 10 50 40 400.0%Communication n/a n/a 50 n/a n/aRepresentation n/a n/a 5 n/a n/aUN Joint Services n/a n/a 1,057 n/a n/a[Communication and Other] 79 572 n/a n/a n/a

Sub-total 89 582 1,162 580 99.7%Equipment and Supplies


Sub-total 256 240 115 (125) -52.0%Total, B 3,822 4,377 4,661 284 6.5%

TOTAL 19,205 20,443 21,493 1,049 5.1%POSTS2 40 35 36 1

Amount %






159


PROGRAM 24 GENERAL SUPPORT SERVICES PLANNING CONTEXT 24.1. Procured goods and services, as well as travel, constitute one of WIPO’s most important non-personnel costs and is therefore an area with potentially high efficiency and cost gains for the Organization as a whole. Procurement and travel services will therefore focus on driving value through strategic sourcing and enhancing the efficiency of its activities while ensuring a continuous high quality and customer-oriented support to users across the Organization. 24.2. The biggest challenge as regards the management of existing premises will be the integration of the new building, with the largest building capacity ever, into the WIPO campus. Enhanced functioning of technical installations and compliance with standards will continue to be a priority. Furthermore, construction work on the new conference hall, the AB Building, and the UN HMOSS security perimeter will continue until 2013, bringing with it the challenge of minimizing the effects of the major worksites on the daily operations of the Organization. 24.3. The internal mail distribution and mail delivery and/or pick-up, both internally and externally, are important parts of the work and communication flows within the Organization. This service will face the particular challenge of adapting and streamlining its work during the biennium due to the unprecedented number of staff movements following the completion of the new building in 2011. 24.4. In his SRP, the Director General has made a strong commitment to strengthening environmental and social governance across all WIPO activities. In the biennium, the main challenge will be to further reduce the adverse impact that WIPO’s activities have on the environment, including that of premises and travel, and to improve the physical access to the WIPO Campus. IMPLEMENTATION STRATEGIES AND RISKS 24.5. In order to further optimize the cost of WIPO procured goods and services, strategic sourcing policies will be established to leverage spending across the Organization, over time, and in collaboration with other UN system organizations. Better procurement planning for the Organization as a whole will be developed, as well as an emphasis on delivering satisfactory services to internal clients, through a professional, timely and pro-active approach, in line with the SRP core value of ‘service orientation’. Local sourcing will be fostered for any development related procurement activity. Lastly, efficiency and compliance of procurement processes and services will be enhanced by streamlining different initiatives and projects, whose results will be closely monitored in a Key Performance Indicator dashboard. 24.6. As regards travel services, the optimization of travel costs will be pursued by continuing stand alone or global negotiations of corporate fares. Further efficiency gains in the travel services are expected by reducing processing time, automating statistical reports, implementing user-friendly IT tools that also ensure better data consistency, and by closely monitoring the performance of the WIPO travel agency. 24.7. The main risks faced by the procurement and travel services are those linked to global inflation trends that may arise from market consolidation, tighter regulations, and raw material contingency situations. These risks will be mitigated by maintaining a forward-looking market analysis of its critical providers. 24.8. For the management of premises, the optimal allocation of work space to host all WIPO staff will necessitate continued alignment of the space allocation policy to the available facilities. To ensure a continuous and uniform upgrading of technical facilities in WIPO premises, an overall plan for renovation and enhancement of technical installations throughout the WIPO Campus will be established based on a set of definitions and criteria for technical installations standards. Efforts to minimize disruptions due to the ongoing construction work will be pursued through a close coordination with Programs 25 (IT), 27 (Conference and Language Services), 28 (Safety and Security) and 29 (Construction Projects) in particular.

160

Strategic Goal IX

24.9. The main risk associated with the management of premises is a potential expansion of the actual number of WIPO staff beyond the capacity of the buildings even with a stricter office space allocation policy. This will be mitigated through a close coordination between programs. Major technical breakdowns, requiring vacating a building or a significant part of a building and relocating staff temporarily off-site for a longer period of time, would also significantly affect the achievement of results. This will be mitigated by putting in place an adequate and continuous monitoring of the facilities, with a particular emphasis on the oldest buildings. 24.10. A high-level service of internal mail distribution and mail delivery and/or pick-up both internally and externally will necessitate close monitoring of staff moves and continuous coordination within this Program. 24.11. Efforts to reduce the impact of WIPO’s activities on the environment will focus on defining, for each program, a set of environmental improvement indicators, baselines and targets which will be monitored on a continuous basis. This will be pursued hand-in-hand with awareness raising initiatives contributing to the mainstreaming of the SRP environmental and social governance core value throughout the Organization. This Program will, in particular, target a reduction in the impact on the environment through reducing energy consumption in WIPO premises, including by replacing obsolete technical installations with greener alternatives, gradually moving to a greener electricity tariff bracket for all WIPO buildings, thereby contributing to local investments in renewable energies, and the gradual replacement of existing WIPO vehicles with hybrid models. Investments in greener technology and utilities might risk increasing the overall cost of maintenance of the WIPO premises in the short term. This should be off-set in the longer term by a reduction in the overall energy consumption. Environmental considerations will also gradually become, whenever relevant, a selection criteria in sourcing activities. 24.12. Similar strategies will be adopted to enhance the accessibility to WIPO premises. In addition to Program 24, such efforts will in particular be relevant in Program 25 (IT), Program 28 (Safety and Security) and Program 29 (Construction Projects). The cost implications of improving accessibility could, for some measures, be significant. It will therefore be examined which measures could be introduced as an addendum to the ongoing construction projects (new conference hall, security perimeter) thereby avoiding additional subsequent worksites. A plan will also be developed during the biennium to phase a series of improvements over this and future biennia. RESULTS FRAMEWORK



Cost savings for goods and services procured by WIPO (derived from RFPs, negotiations, or UN globalization actions) % of internal clients satisfied with procurement services % of spend subject to UN leverage or benchmark

CHF500,000 (P&B 10/11 value) Tbd (end 2011) Tbd (end 2011)

At least CHF500,000 (P&B 10/11 value) Tbd (end 2011) Tbd (end 2011)

Processing time of e-Travel Authorization (TA) and e-Event Request (subject to respected deadline)

e-TA - 1 day e-ER = 2 hours

e-TA - 1 day e-ER = 2 hours

Processing time for 3rd party visas 4-5 days 2-3 days

Reduction in travel costs as a result of e-conferences and video conferences

Tbd tbd

Rental of additional workplaces and related facilities (assuming same headcount as end 2011)

80 workplaces 80 workplaces

161



No. of main technical installations (electrical, sanitary, heating and cooling) improved in line with applicable standards (to be defined)

n/a n/a

Reduced impact of WIPO’s activities on the environment

No. of Programs with environmental improvement indicators, baselines and targets

Tbd end 2011 All Programs

% of reduction in carbon emissions in respect of energy consumption


Improved physical access to the WIPO Campus

No. of relevant Programs with physical accessibility indicators, baselines and targets

Tbd end 2011 All related Programs



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VIII.3 WIPO effectively interacts and partners with UN and other IGO processes and negotiations 190

IX.1


44,747

IX.4 WIPO staff, delegates, visitors and information and physical assets are safe and secure 393

IX.6 New conference hall and related facilities available for meetings of Member States 202

IX.9 Reduced impact of WIPO’s activities on the environment 299

IX.10 Improved physical access to the WIPO Campus 439

Total 52,649 46,271



24.13. The figures for 2010/11 Budget under personnel costs represent actual expenditure for 2010 and budgeted amounts based on standard costs for 2011. The budget for 2012/13 is prepared using standard costs for the next biennium. The increase in budgeted amount under Posts for Program goes beyond the statutory increases incorporated in the standard costs due to the transfers during the course of 2010/11. 24.14. The proposed reduction in non-personnel resources is mainly related to the end of the lease of the rented P&G building. This reduction has been partly offset by an increase in the charges and maintenance related costs for the new building, the New Conference Hall (starting second half of 2013) and the modernization/renovation/projects for the older buildings, such as lake-water cooling systems and other upgrades or replacements of technical installations. In addition, increases are foreseen for the implementation of physical accessibility measures and related equipment costs. A budget provision of 2.5 million Swiss francs is also proposed as an initial contribution to the Building Maintenance and Renovation Fund to be established.

162

Strategic Goal IX

24.15. The increases under “Staff Missions” are mainly related to UN inter-agency activities and meetings and staff training and development. The increases under “SSA and Commercial Services” are primarily related to an audit by the Institute of Safety and Security (Neuchatel) for the implementation of premises-related safety measures, commercial maintenance service contracts (renovation, transformation and modernization of premises) and commercial services for the management of WIPO assets. 24.16. The increase under “Furniture and Equipment” primarily relates to the equipment costs required for the implementation of physical accessibility measures.

Program 24



A. Personnel ResourcesPosts 16,355 16,458 15,724 (735) -4.5%Short-term Professional n/a n/a 252 n/a n/aShort-term General Service n/a n/a 1,376 n/a n/a[Consultants] 269 297 n/a n/a n/a[Short-term Employees] 1,909 1,458 n/a n/a n/aInterns -- 8 -- (8) -100.0%

Total, A 18,533 18,222 17,351 (871) -4.8%


Staff Missions 144 140 397 257 183.0%Sub-total 144 140 397 257 183.0%

Contractual ServicesConferences -- -- 6 6 n/aExperts' Honoraria 165 122 -- (122) -100.0%Publishing 25 25 20 (5) -20.0%SSA & Commercial Services 615 535 775 240 44.9%


Premises & Maintenance 31,980 31,753 24,611 (7,143) -22.5%Communication n/a n/a 14 n/a n/aRepresentation n/a n/a 5 n/a n/aUN Joint Services n/a n/a 53 n/a n/a[Communication and Other] 18 84 n/a n/a n/a


Furniture & Equipment 457 422 2,607 2,185 517.9%Supplies & Materials 1,366 1,346 432 (914) -67.9%

Sub-total 1,823 1,767 3,039 1,272 71.9%Total, B 34,770 34,427 28,920 (5,508) -16.0%

TOTAL 53,303 52,649 46,271 (6,378) -12.1%POSTS2 52 51 51 --

Amount %






163


PROGRAM 25 INFORMATION AND COMMUNICATION TECHNOLOGY PLANNING CONTEXT 25.1. In today’s connected world, advanced, reliable and secure Information and Communications Technology (ICT) is operationally vital and strategically imperative to WIPO in fulfilling its mandates and obligations. ICT at WIPO is far more than just an administrative tool. Unlike many other United Nations organizations, a significant number of WIPO’s mission critical services are delivered to its users and stakeholders through the processing of time-critical online transactions.

25.2. ICT is a key enabler for WIPO to achieve its nine Strategic Goals, in particular the following:

− Provision of premier global IP services − Coordination and development of global IP infrastructure − World reference source for IP information and analysis − Addressing IP in relation to global policy issues − A responsive communications interface between WIPO, its Member States and all

stakeholders − Efficient administrative and financial support structure to enable WIPO to deliver its

programs. 25.3. Over the past few years, significant efforts have been made to introduce good management practices and to consolidate technology standards. The key challenge for 2012/13 is to transform the ICT services by mainstreaming good practices and by ensuring that the Organization builds capabilities to effectively and efficiently benefit from the technology advancement. This is a race against time with limited resources, as many past ICT initiatives must first be consolidated to ensure sustainability, reliability and security. The Organization is also expected to continue to innovate to better serve its Member States and all stakeholders by exploiting opportunities provided by emerging technologies. 25.4. As this transformation unfolds, it is a major challenge to manage the risks associated with the significant changes in technologies, desired staff competency, and processes. Past under-investment in core technologies and services has made this transformation exigent. 25.5. WIPO’s ICT vision is described in the ICT strategy approved by the ICT Board in 2010: “We strive to provide responsive, secure, client-centric ICT services that are well coordinated and dedicated to cost-effectively meet the needs of its clients”. IMPLEMENTATION STRATEGIES AND RISKS 25.6. This vision calls for the establishment of a set of key enabling capabilities, some of which are particularly relevant to and driven by this Program:

− Effective and efficient ICT governance framework and operational practices that ensure alignment between ICT investments and WIPO strategic priorities, and increased accountability for ICT investment.

− Elastic, up-to-date and reliable ICT hardware and software common services to meet the growing ICT demands in a timely and cost-effective manner, while ensuring business continuity.

− Well understood information security risks, accountabilities and enforceable corresponding policies and internal controls.

164

Strategic Goal IX

− A client-centric ICT environment that is capable of providing a consolidated user experience to our clients and one that is more accessible, interoperable and compatible both within WIPO and with its external clients.

− Advanced business intelligence and process management capabilities which utilize modern modeling technologies and tools that provide value-added reference information for optimizing business processes.

− Strategically focused adoption of enterprise collaboration, conferencing and web technologies to sustain effective communication and promote access to knowledge among the workforce, Member States and other stakeholders.

− Improved enterprise content management (ECM) to enable proper management of unstructured information regardless where that information exists.

25.7. This Program provides vital support to other programs in establishing enabling capabilities including: modern and advanced multilingual platforms and tools for language services; well established strategic information repository and secured exchange mechanism to position WIPO as a comprehensive and trusted source or channel for IP information; and, extended ERP environment to efficiently streamline and integrate management and administrative processes to support result-based management. 25.8. The expected results in the biennium are to be achieved through several strategies. Firstly, the ICT Board will play a key role in determining the ICT related priorities and the effectiveness of the Technical Advisory Group will be improved. Also, business ownership over ICT initiatives will be promoted while improving project management discipline. Improving governance and business ownership over ICT initiatives needs time to cultivate, while pressing ICT demands continue. Flexibility, result orientation, and the spirit of “working as one” will go a long way to smooth the path of this transformation. 25.9. Secondly, infrastructure provision and operations will be strategically outsourced to ensure high levels of service and cost effectiveness. Switching the Infrastructure and Service Management to outsourcing is resource intensive and puts additional load on the existing staff during the transitional period. Gradual implementation of outsourcing will be essential to address this issue. 25.10. Thirdly, a new domain of Enterprise Architecture and Information Assurance will be established to holistically manage information security risks and technology directions. Outsourcing introduces different set of challenges for information security. Management attention needs to be intensified to validate outsourcing partners’ internal controls and security management, while staff focus also needs to be redirected from operational monitoring to performance and contractual management. 25.11. Uncoordinated technological changes introduce additional complexity and integration challenges, even potential for service interruptions. Process maturity must improve. This must be complemented, in parallel, with intensified staff development and training. RESULTS FRAMEWORK


ICT investments are closely aligned with strategic priorities and yield business benefits

% of projects having benefit realization assessed post project implementation

0 20%

Maturity level of ITIL implementation based upon the official self-assessment on scale 5

In average two of the service support

Increase by one step

165




Outsourcing in operation and provision of IT technical infrastructure WIPO meetings are accessible real-time over the Internet or after the event No of communication channels seamlessly integrated

Two hosted applications Assemblies broadcasted e-mail, phone separated

30% of the server park hosted at ICC At least 20 meeting days broadcasted e-mail, phone, web conferencing, web meetings, webinars integrated


Comprehensiveness and relevance of the set of information security policies, procedures and standards

Eight policies, under revision

12 up-to-date policies

Up-to-date information security risk registry

Risk registry has been created

Risk registry revised twice a year



tranfers 1


IX.1


45,827

IX.4 WIPO staff, delegates, visitors and information and physical assets are safe and secure 2,433

IX.14 ICT investments are closely aligned with strategic priorities and yield business benefits 2,147

Total 44,495 50,408



25.12. The figures for 2010/11 Budget under personnel costs represent actual expenditure for 2010 and budgeted amounts based on standard costs for 2011. The budget for 2012/13 is prepared using standard costs for the next biennium. 25.13. The reduction in post costs for the Program is the result of the decision to delay recruitment into certain posts, where the content of these is expected to be significantly influenced by the evolution and needs of the Organization’s IT systems and infrastructure, post ERP implementation. 25.14. The proposed 6.9 million Swiss francs increase in non-personnel resources for the next biennium primarily comes from the 12.5 million Swiss francs increase under “SSA and commercial services”, which relates to outside contracts (strategic partnership with UNICC and regular suppliers for Licensing, software, and support specific to the IT support systems such as Helpdesk services). In parallel, staff costs and operational costs and provisions for investments in hardware and infrastructure from the regular budget were significantly decreased. This reflects the measured strategy that infrastructure provisioning and operations be strategically outsourced to meet increased demands while ensuring high quality services in a cost effective manner. The proposed budget also includes provisions for the implementation of various Business Continuity initiatives.

166

Strategic Goal IX

Program 25



A. Personnel ResourcesPosts 17,538 17,536 16,388 (1,148) -6.5%Short-term Professional n/a n/a 1,551 n/a n/aShort-term General Service n/a n/a 1,190 n/a n/a[Consultants] 1,143 1,281 n/a n/a n/a[Short-term Employees] 892 1,295 n/a n/a n/aInterns -- 4 -- (4) -100.0%

Total, A 19,573 20,116 19,128 (987) -4.9%



Contractual ServicesExperts' Honoraria 90 90 -- (90) -100.0%SSA & Commercial Services 14,471 14,802 27,305 12,503 84.5%


Premises & Maintenance 2,762 2,919 2,174 (745) -25.5%Communication n/a n/a 1,600 n/a n/a[Communication and Other] 487 1,255 n/a n/a n/a


Furniture & Equipment 3,489 3,489 -- (3,489) -100.0%Supplies & Materials 1,540 1,640 -- (1,640) -100.0%

Sub-total 5,029 5,129 -- (5,129) -100.0%Total, B 23,024 24,379 31,279 6,900 28.3%

TOTAL 42,597 44,495 50,408 5,913 13.3%POSTS2 52 47 47 --

Amount %






167


PROGRAM 26 INTERNAL OVERSIGHT PLANNING CONTEXT 26.1. The strengthening of the Internal Oversight services has continued during the biennium 2010/11 to ensure the progressive implementation of the Internal Oversight Charter and the Evaluation Policy. The implementation of both the Charter and the Policy is based on a risk and needs based planning approach reflected in detailed annual work plans for internal audit, evaluation and investigation services. In addition, longer term strategic frameworks have been developed for Internal Audit and Evaluation. Plans for evaluation are based on extensive consultation with management. IMPLEMENTATION STRATEGIES AND RISKS 26.2. Internal Audit will continue to focus on high-risk audits and provide advice for the improvements of internal controls, information security and risk management. Progress in implementing oversight recommendations will be regularly monitored and reported to the Director General, the Independent Advisory and Oversight Committee (IAOC) and the WIPO Assemblies. Several software applications will be fully in use by 2012 to enhance the efficiency of the audit process. The strengthening of the Internal Audit Section in 2011 will help ensure the good quality and added value of audit reports through implementation of a two stage review process of reports. 26.3. The generation of quality and real-time evaluation reports and other evaluative information will be further developed. The wide dissemination of information generated by evaluations, including lessons learned, and the timely follow-up to recommendations contained in evaluation reports will be important. Independent evaluations (program level, thematic, strategic goal level) will be conducted based on priorities established with major stakeholders. The DA will become an important focus for evaluation work. The Evaluation Policy will continue to be implemented and institutionalized. 26.4. Internal Oversight will continue to support management in the development and implementation of an efficient and effective Ethics and Integrity framework within which all WIPO staff have clear duties, roles, responsibilities and rights. This will be accomplished through the provision of professional and timely investigation reports conducted in line with accepted norms and good practices for investigation in UN organizations. Formalized whistle-blowing procedures and a “hot line” will be put in place. Active support for the development of ethics and conduct codes, and a system of financial disclosures based on UN good practice will continue to be provided. Also, a risk assessment framework will be developed, to mitigate against the occurrence of wrongdoing, misbehavior and fraud. A program to counter misbehavior, wrongdoing and fraud will be developed with other interested parties. 26.5. Support and advice will be provided, as appropriate, in connection with WIPO’s SRP (in particular aspects covering internal control, risk management, ethics and information security), and the DA. 26.6. Cooperation and coordination with the External Auditor, Ombudsman and Ethics Office will remain a high priority, as will the active follow up of management implementation of all oversight recommendations. In addition, appropriate oversight tools, such as manuals, policies and guidelines will continue to be developed and will incorporate professional and UN good practices. 26.7. Cooperation with the UN internal oversight community and relevant international and professional associations will continue during the biennium to ensure that internal oversight at WIPO is being conducted in line with international developments and good UN practices.

168

Strategic Goal IX

RESULTS FRAMEWORK


An effective and professional internal audit function is in place covering all high risk work areas

Number of audits performed in high risk areas

Six audits completed (2010)

12 audits (in 2012/13)

The professional standards, code of ethics, and practice advisories of the Institute of Internal Auditors (IIA) are applied.

Internal audit section received "general conformance with the IIA standards" rating (External Auditor's quality assurance review of the Internal Audit Section, 2009)

Maintain the "meets general conformity with the IIA standards" rating in subsequent external quality assurance reviews.

Complete and accurate tracking of the implementation of oversight recommendations, showing all historical recommendations made, new ones added and their status

IAOD reviewed the implementation status of oversight recommendations twice in 2010

The implementation of all IAOD recommendations is followed up every six months

Investigation reports provide a sound basis for decision making by the Director General

Investigation activity is carried out in accordance with the Internal Oversight Charter, UN Uniform Guidelines for Investigation, the Investigation Procedures Manual and the Investigation Policy (currently in draft).

Investigations are carried out in accordance with the Internal Oversight Charter, the UN Uniform Guidelines for Investigation and the Investigation Procedures Manual

Average elapsed time to complete investigations below six months.


Evaluations are produced in line with the Evaluation Policy and Evaluation Section Procedures Manual.

The Evaluation Policy will be progressively implemented through 2012 and 2013

At least six evaluations completed in the biennium.



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IX.11 An effective and professional internal audit function is in place covering all high risk work areas 1,364

IX.12 Investigation reports provide a sound basis for decision making by the Director General 1,364

IX.13Evidence-based evaluative information is available to senior management, program managers and Member States for decision making

2,321

Total 3,815 5,050



26.8. The figures for 2010/11 Budget under personnel costs represent actual expenditure for 2010 and budgeted amounts based on standard costs for 2011. The budget for 2012/13 is prepared using standard costs for the next biennium. The increase in budgeted amount under Posts for Program goes beyond the statutory increases incorporated in the standard costs as a result of a lower base in 2010 actual expenditure due to vacancies in the Program that were filled only recently.

169


26.9. The proposed increases are mainly related to “SSA and Commercial Services”, for hiring of experts for various audits, investigation and evaluation related activities planned for 2012/13 biennium. Other changes across cost categories have been proposed to align the budget to the 2010/11 expenditure pattern of the Program.

Program 26



A. Personnel ResourcesPosts 2,695 2,445 3,213 769 31.4%Short-term Professional n/a n/a 590 n/a n/aShort-term General Service n/a n/a 447 n/a n/a[Consultants] -- 383 n/a n/a n/a[Short-term Employees] 216 268 n/a n/a n/a

Total, A 2,912 3,096 4,250 1,154 37.3%



Contractual ServicesConferences -- 3 -- (3) -100.0%Publishing 3 3 5 2 66.7%SSA & Commercial Services 550 609 640 31 5.1%


Communication n/a n/a 20 n/a n/a[Communication and Other] 10 6 n/a n/a n/a



Sub-total 20 23 40 18 77.8%Total, B 653 720 800 80 11.1%

TOTAL 3,565 3,815 5,050 1,234 32.4%POSTS2 6 7 7 --

Amount %






170

Strategic Goal IX

PROGRAM 27 CONFERENCE AND LANGUAGE SERVICES PLANNING CONTEXT 27.1. Program 27 covers conference, language, printing, records management and archives, and mail expedition services. Language Services include translation work for WIPO meeting documentation, publications, laws and certain parts of the website. This Program also provides interpretation services for the meetings of the WIPO Assemblies and the WIPO Coordination Committee as well as other meetings organized by various Programs. 27.2. The main challenge for Language Services is the continued development and phased implementation of a comprehensive language policy for the Organization and the further extension of language coverage of WIPO meeting documentation, WIPO publications and certain aspects of the WIPO website in a cost-effective manner, while maintaining the highest standards of quality. Other challenges for Language Services include increased use of technology and the development of multilingual terminology databases. 27.3. The main challenge for Conference Services will consist of providing high quality services to Member States and other stakeholders. Special preparations will be required to effectively service the WIPO new conference hall which is expected to become operational towards the end of the biennium. 27.4. A further challenge will be to contribute to a paper-free environment by progressively introducing electronic distribution of meeting documentation, electronic registration of conference participants and optical archiving of records. IMPLEMENTATION STRATEGIES AND RISKS 27.5. In the language area, the Program aims at delivering high quality translation and interpretation services and continuing to develop, in consultation with Member States, a comprehensive language policy for the Organization. To ensure that quality language services continue to be provided in a cost effective manner within this context, particular attention will be devoted to streamlining work processes and the development of computer assisted translation tools. Further efforts will also be deployed to improve internal productivity. The share of outsourced translation work will be increased with specific regard to available competencies in developing countries in accordance with WIPO procurement rules. These objectives are based on the decisions adopted by the WIPO Assemblies in September 2010 (A/48/26 para. 250). 27.6. In the conference, printing, mail expedition and records management areas, the Program aims at continuing to deliver efficient and cost-effective services that maximize the use of modern technology. New IT based services, such as webcasting and electronic recording of conference proceedings, will continue to be developed. 27.7. Implementation strategies for the Program will continue, in general, to focus on enhanced utilization of IT tools and systems for increased cost-effectiveness, and, in the language area, exploring all available means to reduce the average cost per page of translation while maintaining high quality standards. Revision of internal policies and procedures (in the context of planning for the ERP project) will also be pursued as a means of increasing efficiency of work flows in all areas. 27.8. The volume of services to be delivered by the Program is determined by users within and outside the Secretariat. The main risk facing the Program is an increase in demand for services which can not be satisfied with available resources. This risk will be mitigated by close cooperation with substantive Programs to improve the planning and prioritization of activities.

171


RESULTS FRAMEWORK



% of internal and external users satisfied with WIPO's conference services Translation productivity standards and cost per page of translation A comprehensive language policy adopted by Member States together with related resource allocation requirements

Rate at end 2011 Productivity and cost levels at end 2011 Language Policy elaborated in 2010 only for documentation of WIPO Standing Committees

10% increase in rate by end 2013 10% increase over baseline Language policy covers documentation of all WIPO meetings, as well as language coverage of WIPO publications and website

Productivity rate for calculations, data input and collection and provision of statistics (mail delivery)

Rate of productivity at end 2011.

10% increase over baselines.

% of PCT Media batch in paper and electronic format on time

Rates at end 2011 10% improvement over baseline.

% of Madrid Notifications in paper format on time


% of Madrid Romarin in electronic format on time




tranfers 1


IX.1


37,240

Total 37,701 37,240



27.9. The figures for 2010/11 Budget under personnel costs represent actual expenditure for 2010 and budgeted amounts based on standard costs for 2011. The budget for 2012/13 is prepared using standard costs for the next biennium. 27.10. The proposed increases in non-personnel resources especially under “SSA and Commercial services” are related to Language Services, to deal with the increased workload and for the implementation of the proposed new language policy. Reductions in other cost categories were possible following elimination of overlaps of activities with other Program areas, mainly on IT related items, software trainings etc. Cost efficiency gains have been realized in printing services and mail expedition contracts.

172

Strategic Goal IX

Program 27



A. Personnel ResourcesPosts 25,051 24,864 24,712 (152) -0.6%Short-term General Service n/a n/a 3,378 n/a n/a[Consultants] 269 -- n/a n/a n/a[Short-term Employees] 4,463 3,871 n/a n/a n/aInterns 16 21 -- (21) -100.0%

Total, A 29,799 28,756 28,090 (666) -2.3%


Staff Missions 192 192 40 (152) -79.2%Sub-total 192 192 40 (152) -79.2%

Contractual ServicesConferences 814 814 870 56 6.9%Publishing 3 311 -- (311) -100.0%SSA & Commercial Services 1,690 2,406 5,400 2,994 124.4%


Premises & Maintenance 2,537 2,237 1,700 (537) -24.0%[Communication and Other] 1,811 2,179 n/a n/a n/a


Furniture & Equipment 227 227 105 (122) -53.7%Supplies & Materials 579 579 1,035 456 78.8%

Sub-total 806 806 1,140 334 41.4%Total, B 7,853 8,945 9,150 205 2.3%

TOTAL 37,652 37,701 37,240 (461) -1.2%POSTS2 77 79 79 --

Amount %






173


PROGRAM 28 SAFETY AND SECURITY PLANNING CONTEXT 28.1. An increase in the level of actual and perceived global threats targeting the United Nations system poses a key on-going challenge for the Organization. The focus of the Program is to ensure the safety and security of its stakeholders/clients (staff, visitors, and delegates) at the WIPO premises and outside sponsored events, and the overall protection of WIPO assets in a way that is commensurate with the threats to WIPO, and through the effective and efficient use of its resources. 28.2. An overall safety and security concept and strategy for the Organization that are independent but in line with the UN Security Management System standards and guidelines will continue to provide the basis for the safety and security services at WIPO. IMPLEMENTATION STRATEGIES AND RISKS 28.3. The main focus in the biennium will continue to consist of providing for and maintaining an environment that is safe and secure for WIPO’s stakeholders/clients. This will be achieved through continued security risk management of direct or indirect threats based on Annual Risk Assessments in order to reduce the likelihood that they may occur against staff or the Organization’s assets. This will include implementation and/or monitoring of procedures, policies, and the provision of training to enhance staff’s awareness about safety and security issues. Furthermore, the new or upgraded systems, equipment and services at the WIPO premises will significantly contribute to enhance the safety and security in the longer term. 28.4. The project to upgrade safety and security of existing WIPO premises will continue in this biennium with the enhancements being extended to the new building projects. It is expected that in 2012/13 the implementation of many of the required systems, equipment and services will be completed. The implementation of the safety and security upgrade project will need to be dovetailed with the timelines and permits of the new construction projects. Any eventual delays in the new constructions could lead to possible delays in the implementation of the safety and security upgrade project. The risk of such delay will be mitigated by working in close collaboration with Program 24 (General Support Services) and Program 29 (Construction Projects) and with other external stakeholders.

174

Strategic Goal IX

RESULTS FRAMEWORK



% of WIPO staff, delegates and visitors reporting a work related injury or incident

2%

2% or less

% of timely requests for safety and security assistance at conferences or events held in or outside of Geneva

65% 80%



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IX.4 WIPO staff, delegates, visitors and information and physical assets are safe and secure 12,159

Total 10,198 12,159



28.5. The figures for 2010/11 Budget under personnel costs represent actual expenditure for 2010 and budgeted amounts based on standard costs for 2011. The budget for 2012/13 is prepared using standard costs for the next biennium. The increase in budgeted amount under Posts for Program goes beyond the statutory increases incorporated in the standard costs as a result of a lower base in 2010 actual expenditure due to vacancies in the Program. 28.6. The increases in non-personnel resources are mainly due to: (i) the transfer of safety and security related maintenance contracts from Premises to Program 28 as of 2011, (ii) increase in costs of several security related services contracts for events and meetings, (iii) security related to the new building starting 2011, (iv) installations of HMOSS upgrade project equipment in 2012 and 2013, and the safety and security related maintenance contracts.

175


Program 28



A. Personnel ResourcesPosts 1,916 2,168 2,398 230 10.6%Short-term Professional n/a n/a 295 n/a n/a[Consultants] 269 278 n/a n/a n/a[Short-term Employees] 195 -- n/a n/a n/a

Total, A 2,380 2,446 2,693 247 10.1%


Staff Missions 90 90 90 -- 0.0%Sub-total 90 90 90 -- 0.0%

Contractual ServicesSSA & Commercial Services 20 332 -- (332) -100.0%

Sub-total 20 332 -- (332) -100.0%Operating Expenses

Premises & Maintenance 7,169 7,252 9,255 2,003 27.6%Communication n/a n/a 2 n/a n/aUN Joint Services n/a n/a 90 n/a n/a[Communication and Other] 35 9 n/a n/a n/a

Sub-total 7,204 7,261 9,347 2,086 28.7%Equipment and Supplies

Supplies & Materials 68 68 29 (39) -57.4%Sub-total 68 68 29 (39) -57.4%Total, B 7,382 7,751 9,466 1,715 22.1%

TOTAL 9,762 10,198 12,159 1,961 19.2%POSTS2 6 7 8 1

Amount %






176

Strategic Goal IX

PROGRAM 29 CONSTRUCTION PROJECTS PLANNING CONTEXT 29.1. In December 2008, Member States approved the launch of the preparation of the architectural and technical dossier (“Phase One”) for the new conference hall. This was followed by the Member States’ approval, in October 2009, of the execution (“Phase Two”) of the Project. 29.2. The application for the complementary building permit was deposited with the local authorities in October 2009; the permit was granted in June 2010. The general contractor was selected by a Board, composed of representatives of Member States, in February 2011. 29.3. The financing of Phase Two of the Project was approved by the WIPO Assemblies through an appropriation of 24 million Swiss francs from the WIPO reserves and a commercial loan for an amount of 40 million Swiss francs. An addendum for the extension of the existing loan contract (for the New Construction Project) to cover the latter amount was signed with the banks in October 2010. 29.4. Against this background, the main key challenges in the biennium 2012/13 will be the completion of the new conference hall, which promises to be a unique and highly visible architectural object. In addition, major renovations to several lower floors of the AB Building, necessary in view of its proximity to the new hall, will be executed along with the conference hall construction. 29.5. As regards the new administrative building, completed during the biennium 2010/11, the main challenge will consist of ensuring that the cost of the bank loan amortization is maintained to a minimum and that the remaining funds available under the approved consolidated budget and provisions are minimally utilized during the construction guarantee period. IMPLEMENTATION STRATEGIES AND RISKS 29.6. For the construction of the new conference hall, the project management and governance structure based on best practice and the model established for the construction of the new administrative building, which was adopted from the start of the Project, will continue to be used. This will apply, in particular, to the monitoring and risk management processes in respect of quality, budget and timelines for the project, based on those established and used, with good results, for the construction of the new administrative building. Emphasis will be placed on ensuring that lessons learnt from the previous construction project are fully incorporated into the new project approach. In addition, a prudent approach for the utilization of approved funds for the new construction project will continue to be a priority. 29.7. The potential adverse impact of the new conference hall project worksite on the daily operations of the Organization and inevitable disruption in daily work and meetings of Member States during the biennium will be mitigated by improved coordination between Program 29 and all other programs. Such impact as well as possible technical breakdowns due to the new worksite could require vacating parts of the AB Building and relocating staff temporarily off-site as well as holding a number of meetings off-site. This risk can be partly mitigated through a thorough monitoring of the construction project by the Program in collaboration with the external parties (Architect, General Contractor, Pilot, etc.) as part of the established monitoring process. In addition, alternatives for office and meeting spaces will have to be integrated in the risk management.

177


RESULTS FRAMEWORK


New conference hall and related facilities available for meetings of Member States

Construction of new conference hall and related facilities in compliance with the approved quality, budget and time framework

n/a n/a

Costs related to the new administrative building are kept to a minimum

Use of remaining funds available under the approved consolidated budget and provisions during the construction guarantee period

n/a n/a



tranfers 1


IX.4 WIPO staff, delegates, visitors and information and physical assets are safe and secure 46

IX.5 Costs related to the new administrative building are kept to a minimum 7,020

IX.6 New conference hall and related facilities available for meetings of Member States 608

Total 6,326 7,675



29.8. The increases under the Program, which is mainly under Premises and Maintenance are related to the interest payment of the loan (6.9 million vs. 5.3 million in 2010/11) for the new building following the full draw down of the loan amount (130 million Swiss francs). 29.9. The decreases in “SSA and Commercial Services” and “Experts’ Honoraria” are due to the fact that the honoraria and other initial costs for the Pilot and other experts were covered under the regular budget in 2010/11 for the New Construction Project whereas honoraria for the Pilot for the New Conference Hall Project are covered from the WIPO reserves and loan. The reduction under “Equipment and Supplies” is due to the fact that the construction costs for the relocation of the AB building parking ramp was a one-time occurrence and will not be required in the 2012/13 biennium.

178

Strategic Goal IX

Program 29



A. Personnel ResourcesShort-term Professional n/a n/a 345 n/a n/a[Consultants] 269 302 n/a n/a n/a

Total, A 269 302 345 43 14.1%



Contractual ServicesExperts' Honoraria 105 105 -- (105) -100.0%SSA & Commercial Services 700 760 280 (480) -63.2%


Premises & Maintenance 6,474 4,557 7,010 2,453 53.8%[Communication and Other] 48 89 n/a n/a n/a

Sub-total 6,522 4,646 7,010 2,364 50.9%Equipment and Supplies

Furniture & Equipment 500 500 10 (490) -98.0%Supplies & Materials -- -- 10 10 n/a

Sub-total 500 500 20 (480) -96.0%Total, B 7,840 6,024 7,330 1,306 21.7%

TOTAL 8,109 6,326 7,675 1,349 21.3%POSTS2 -- -- -- --

Amount %






179


IV. ANNEXES

Annex I. 2012/13 Budget by Program Annex II. 2012/13 Posts by Program Annex III. Allocation of Projected Income and Budget by Union Annex IV Evolution of Demand for Services Under the PCT, Madrid and The Hague Systems in the Medium Term Annex V Funds-in-Trust Resources Potentially Available for Programming Annex VI Indicators of PCT Operations Annex VII WIPO Organigram Annex VIII Annual Budget Tables for IPSAS Reporting Annex IX 2012/13 Budget by Expected Result and Program Annex X Development Agenda Links for Program and Budget 2012/13

180

Annexes ANNEX I 2012/13 BUDGET BY PROGRAM

Table 10. Budget after Transfers by Program (in thousands of Swiss francs)

2010/11 Transfers Transfers Transfers 2010/11

Program (2010/11 structure)

Approved Budget

as % of Approved

Budget of a Program

as % of Total

Approved Budget*

Approved Budget after

Transfers

1 Patents 3,610 1,141 31.6% 0.2% 4,751

2 Trademarks, Industrial Designs and Geographical Indications 3,627 2,102 58.0% 0.3% 5,729

3 Copyright and Related Rights 12,813 3,227 25.2% 0.5% 16,040

4 Traditional Knowledge, Traditional Cultural Expressions and Genetic Resources 7,159 -538 -7.5% -0.1% 6,621

5 The PCT System 183,748 -9,923 -5.4% -1.6% 173,824 6 Madrid, Hague and Lisbon Systems 58,477 -1,546 -2.6% -0.2% 56,932 7 Arbitration, Mediation and Domain Names 10,190 -697 -6.8% -0.1% 9,493 8 Development Agenda Coordination 5,337 -68 -1.3% 0.0% 5,269

9 Africa, Arab, Asia and the Pacific, Latin America and the Caribbean Countries, Least Developed Countries 42,178 -5,594 -13.3% -0.9% 36,584

30 Small and Medium Sized Enterprises 4,729 466 9.9% 0.1% 5,195 10 Cooperation with Certain Countries in Europe and Asia 6,111 349 5.7% 0.1% 6,460 11 The WIPO Academy 10,193 -701 -6.9% -0.1% 9,492 12 International Classifications and WIPO IP Standards 8,520 -1,491 -17.5% -0.2% 7,029 14 Global IP Information Services 7,930 2,785 35.1% 0.5% 10,715 15 IP Office Modernization 4,898 2,314 47.2% 0.4% 7,212 16 Economic Studies, Statistics and Analysis 2,918 1,017 34.8% 0.2% 3,935 17 Building Respect for IP 2,608 409 15.7% 0.1% 3,017 18 IP and Global Challenges 5,354 4,733 88.4% 0.8% 10,087 19 Communications 15,455 381 2.5% 0.1% 15,836 20 External Offices and Relations 11,309 41 0.4% 0.0% 11,350 21 Executive Management 14,529 3,733 25.7% 0.6% 18,262 22 Finance, Budget and Program Management 16,305 1,382 8.5% 0.2% 17,687 23 Human Resource Management and Development 19,205 1,238 6.4% 0.2% 20,443 24 Administrative Support Services 53,303 -654 -1.2% -0.1% 52,649 25 Information and Communication Technology 42,597 1,898 4.5% 0.3% 44,495 26 Internal Audit and Oversight 3,565 251 7.0% 0.0% 3,815 27 Conference and Language Services 37,652 49 0.1% 0.0% 37,701 28 Security 9,762 436 4.5% 0.1% 10,198 29 New Construction 8,109 -1,783 -22.0% -0.3% 6,326

Unallocated 6,446 -4,955 -76.9% -0.8% 1,491 GRAND TOTAL 618,637 - 0.0% 0.0% 618,637

*WIPO Financial Regulations and Rules provide for the possibility of transfer of resources under Regulation 5.5: The Director General may make transfers from one program of the program and budget to another for any given financial period, up to the limit of five per cent of the amount corresponding to the biennial appropriation of the receiving program, or to one per cent of the total budget, whichever is higher, when such transfers are necessary to ensure the proper functioning of the services.Highlighed are the programs receiving resources via transfers in 2010/11.

181


Table 11. Restated 2010/11 Budget after Transfers by Program (in thousands of Swiss francs)

2010/11 Budget after

Transfers

Program (2012/13 structure) Personnel Resources

Non-Personnel Resources

Comments

1 Patent Law 3,093 1,658 4,751 - 4,751

2 Trademarks, Industrial Designs and Geographical Indications 3,729 2,000 5,729 - 5,729

3 Copyright and Related Rights 10,224 5,816 16,040 - 16,040

4 Traditional Knowledge, Traditional Cultural Expressions and Genetic Resources 3,794 2,827 6,621 - 6,621

5 The PCT System 118,401 55,424 173,824 - 173,824

6 Madrid, and Lisbon Systems 41,638 15,294 56,932 (4,952) 51,980 Creation of a separate program for the Hague system (part of former prog 6)

31 The Hague System - - - 4,952 4,952 Creation of a separate program for the Hague system (part of former prog 6)

7 Arbitration, Mediation and Domain Names 8,621 872 9,493 - 9,493 8 Development Agenda Coordination 2,752 2,517 5,269 - 5,269

9 Africa, Arab, Asia and the Pacific, Latin America and the Caribbean Countries, Least Developed Countries 21,236 15,348 36,584 - 36,584

10 Cooperation with Certain Countries in Europe and Asia 4,305 2,155 6,460 - 6,460 11 The WIPO Academy 4,444 5,048 9,492 - 9,492 12 International Classifications and Standards 5,399 1,630 7,029 - 7,029

13 Global Databases - - - 1,911 1,911 Creation of a separate program for the Global Databases (part of former program 14)

14 Services for Access to Knowledge 7,749 2,966 10,715 (1,911) 8,804 The Global Databases is now a separate program (prog 13) 15 Business Solutions for IP Offices 3,584 3,628 7,212 - 7,212 16 Economics and Statistics 2,986 948 3,935 - 3,935 17 Building Respect for IP 2,224 793 3,017 - 3,017

18 IP and Global Challenges 8,180 1,907 10,087 (4,528) 5,559 Innovation & Tech. Transfer (part of former prog 18) is merged into program 30 (Small and Medium Enterprises)

19 Communications 12,486 3,350 15,836 - 15,836 20 External Relations, Partnerships and External Offices 7,555 3,795 11,350 - 11,350 21 Executive Management 15,154 3,108 18,262 - 18,262 22 Program and Resource Management 15,288 2,399 17,687 - 17,687 23 Human Resources Management and Development 16,066 4,377 20,443 - 20,443 24 General Support Services 18,222 34,427 52,649 - 52,649 25 Information and Communication Technology 20,116 24,379 44,495 - 44,495 26 Internal Oversight 3,096 720 3,815 - 3,815 27 Conference and Language Services 28,756 8,945 37,701 - 37,701 28 Safety and Security 2,446 7,751 10,198 - 10,198 29 Construction Projects 302 6,024 6,326 - 6,326

30 SMEs and Innovation 3,581 1,614 5,195 4,528 9,723 Innovation & Tech. Transfer (part of former prog 18) is merged into program 30 (Small and Medium Enterprises)

Unallocated 1,358 132 1,491 - 1,491 GRAND TOTAL 396,784 221,853 618,637 - 618,637

2010/11 Budget after

Transfers

Restatement for 2012/13 comparison

2010/11 Restated

Budget after Transfers

182

Annexes

Table 12. 2012/13 Budget by Program


2010/11 Restated Budget after Transfers 2012/13 Budget

Program (2012/13 structure) Personnel Resources


Total Personnel Resources


Total Personnel Resources


Total %

1 Patent Law 3,093 1,658 4,751 3,107 1,736 4,843 15 78 93 2.0%2 Trademarks, Industrial Designs and Geographical Indications 3,729 2,000 5,729 3,934 2,119 6,053 206 119 324 5.7%3 Copyright and Related Rights 10,224 5,816 16,040 10,866 7,727 18,593 642 1,911 2,554 15.9%

4 Traditional Knowledge, Traditional Cultural Expressions and Genetic Resources 3,794 2,827 6,621 4,000 3,980 7,980 206 1,153 1,359 20.5%

5 The PCT System 118,401 55,424 173,824 118,705 59,895 178,600 304 4,471 4,775 2.7%6 Madrid, and Lisbon Systems 38,147 13,833 51,980 38,617 13,477 52,094 469 (356) 114 0.2%

31 The Hague System 3,490 1,461 4,952 5,373 1,597 6,970 1,883 136 2,019 40.8%7 Arbitration, Mediation and Domain Names 8,621 872 9,493 9,634 951 10,585 1,013 79 1,091 11.5%8 Development Agenda Coordination 2,752 2,517 5,269 2,813 1,975 4,788 61 (542) (481) -9.1%

9 Africa, Arab, Asia and the Pacific, Latin America and the Caribbean Countries, Least Developed Countries 21,236 15,348 36,584 22,512 12,590 35,102 1,276 (2,757) (1,481) -4.0%

10 Cooperation with Certain Countries in Europe and Asia 4,305 2,155 6,460 4,283 2,156 6,439 (22) 1 (21) -0.3%11 The WIPO Academy 4,444 5,048 9,492 4,755 5,577 10,332 311 529 841 8.9%12 International Classifications and Standards 5,399 1,630 7,029 5,302 1,630 6,932 (97) - (97) -1.4%13 Global Databases 1,213 698 1,911 2,998 1,505 4,503 1,785 807 2,592 135.6%14 Services for Access to Knowledge 6,536 2,268 8,804 5,650 1,388 7,038 (886) (880) (1,766) -20.1%15 Business Solutions for IP Offices 3,584 3,628 7,212 3,893 3,919 7,813 309 291 600 8.3%16 Economics and Statistics 2,986 948 3,935 3,455 1,130 4,585 469 182 651 16.5%17 Building Respect for IP 2,224 793 3,017 2,192 800 2,992 (32) 7 (25) -0.8%18 IP and Global Challenges 5,107 451 5,559 5,513 1,255 6,768 406 804 1,209 21.8%19 Communications 12,486 3,350 15,836 13,299 3,300 16,599 814 (50) 763 4.8%20 External Relations, Partnerships and External Offices 7,555 3,795 11,350 7,554 3,358 10,912 (1) (437) (438) -3.9%21 Executive Management 15,154 3,108 18,262 16,420 2,528 18,948 1,267 (580) 687 3.8%22 Program and Resource Management 15,288 2,399 17,687 16,760 2,141 18,901 1,472 (257) 1,214 6.9%23 Human Resources Management and Development 16,066 4,377 20,443 16,832 4,661 21,493 766 284 1,049 5.1%24 General Support Services 18,222 34,427 52,649 17,351 28,920 46,271 (871) (5,508) (6,378) -12.1%25 Information and Communication Technology 20,116 24,379 44,495 19,128 31,279 50,408 (987) 6,900 5,913 13.3%26 Internal Oversight 3,096 720 3,815 4,250 800 5,050 1,154 80 1,234 32.4%27 Conference and Language Services 28,756 8,945 37,701 28,090 9,150 37,240 (666) 205 (461) -1.2%28 Safety and Security 2,446 7,751 10,198 2,693 9,466 12,159 247 1,715 1,961 19.2%29 Construction Projects 302 6,024 6,326 345 7,330 7,675 43 1,306 1,349 21.3%30 SMEs and Innovation 6,654 3,070 9,723 7,567 3,694 11,261 913 624 1,538 15.8%

Unallocated 1,358 132 1,491 5,500 2,003 7,503 4,142 1,870 6,012 403.3%GRAND TOTAL 396,784 221,853 618,637 413,393 234,037 647,430 16,609 12,184 28,793 4.7%

Difference

183


ANNEX II 2012/13 POSTS BY PROGRAM Table 13. 2012/13 Posts by Program

Program (2012/13 structure)DG/DDG/ADG 1 D P G Total

DG/DDG/ADG D P G Total

DG/DDG/ADG D P G Total

1 Patent Law - 1 4 3 8 - 1 4 3 8 - - - - -2 Trademarks, Industrial Designs and Geographical

Indications - 1 7 1 9 - 1 7 1 9 - - - - -3 Copyright and Related Rights 1 2 15 5 23 1 2 15 5 23 - - - - -4 Traditional Knowledge, Traditional Cultural Expressions and

Genetic Resources- 2 3 1 6 - 2 3 1 6

- - - - -5 The PCT System 1 4 127 215 347 1 4 129 211 345 - - 2 -4 -26 Madrid, and Lisbon Systems 1 4 39 61 105 1 4 43 59 107 - - 4 -2 2

31 The Hague System - - 7 5 12 - - 8 6 14 - - 1 1 27 Arbitration, Mediation and Domain Names - 1 10 5 16 - 1 10 5 16 - - - - -8 Development Agenda Coordination - 1 4 3 8 - 1 3 3 7 - - -1 - -19 Africa, Arab, Asia and the Pacific, Latin America and the

Caribbean Countries, Least Developed Countries 1 5 27 14 47 1 6 28 14 49 - 1 1 - 210 Cooperation with Certain Countries in Europe and Asia - 1 6 4 11 - 1 6 4 11 - - - - -11 The WIPO Academy - - 7 5 12 - - 7 5 12 - - - - -12 International Classifications and Standards - - 8 6 14 - - 8 6 14 - - - - -13 Global Databases - - 7 1 8 - - 7 1 8 - - - - -14 Services for Access to Knowledge 1 1 6 4 12 1 1 5 4 11 - - -1 - -115 Business Solutions for IP Offices - 1 6 2 9 - 1 7 2 10 - - 1 - 116 Economics and Statistics - 1 6 1 8 - 1 6 1 8 - - - - -17 Building Respect for IP - 1 3 2 6 - 1 3 2 6 - - - - -18 IP and Global Challenges 1 1 4 5 11 1 1 4 5 11 - - - - -19 Communications - 1 17 14 32 - 1 18 14 33 - - 1 - 120 External Relations, Partnerships and External Offices - 2 11 2 15 - 3 10 2 15 - 1 -1 - -21 Executive Management 1 3 18 12 34 1 4 18 12 35 - 1 - - 122 Program and Resource Management - 1 19 24 44 - 1 19 24 44 - - - - -23 Human Resources Management and Development - 1 16 18 35 - 1 15 20 36 - - -1 2 124 General Support Services 1 2 14 34 51 1 2 14 34 51 - - - - -25 Information and Communication Technology - 1 33 13 47 - 1 32 14 47 - - -1 1 -26 Internal Oversight - 1 6 - 7 - 1 6 - 7 - - - - -27 Conference and Language Services - 1 32 46 79 - 1 32 46 79 - - - - -28 Safety and Security - - 2 5 7 - - 3 5 8 - - 1 - 129 Construction Projects - - - - - - - - - - - - - - -30 SMEs and Innovation - 2 9 3 14 - 2 9 3 14 - - - - -

Unallocated - 2 5 - 7 - 10 -10 60 60 - 8 -15 60 53Total Posts (funded) 8 44 478 514 1,044 8 55 469 572 1,104 - 11 -9 58 60

Posts Approved in principle for regularization (un-funded)2 156 96 n/aGRAND TOTAL (APPROVED POSTS) 8 44 478 514 1,200 8 55 469 572 1,200 n/a

1: The D2 post re-classified at ADG level continues to be included in the above ADG level, as confirmed by the Coordination Committee at its June 2009 session (WO/CC/61/2, paragraph 5)

Difference2012/13 Budget

2 Posts have been approved in principle for the creation of up to 156 posts under the regular budget over a period of five years, subject to the availability of budgetary funds for this purpose (ref.document WO/CC/63/5). A provision of 60 such posts have made in 2012/13.

2010/11 Restated Budget after Transfers

184

Annexes

ANNEX III ALLOCATION OF PROJECTED INCOME AND BUDGET BY UNION INTRODUCTION 1. Under the WIPO Financial Regulations and Rules (Rule 102.2), the proposed Program and Budget is required to present the biennial budget for the Organization as well as separately for each Union. ALLOCATION OF BUDGETED EXPENDITURE BY UNION 2. It is recalled that the approved methodology on the allocation of the expenditure by Unions is based on the identification of Union direct and Union indirect expenses. Programs are categorized as Union Direct and Union Indirect activities as described below. 3. UNION DIRECT EXPENSES are the expenses incurred under Union specific activities and the attributable share of related administrative and other budgeted expenses.

3.1 Union specific activities: The following Program activities and budgeted expenditures are considered under this heading. Where expenditures of a program are only partly allocated to a Union, the basis for allocation is the respective Union’s share of this expense as estimated by the Program Managers of the respective programs. Where the allocation of a Program is to a single Union, the full cost of that Program is allocated to that Union.

3.1.1 Contribution-financed Unions: Programs 1 (Patent Law and Innovation) (partly),

2 (Trademarks, Industrial Designs and Geographical Indications) (partly), 3 (Copyright and Related Rights) (partly), 4 (Traditional Knowledge, Traditional Cultural Expressions and Genetic Resources), 7 (Arbitration, Mediation and Domain Names) (partly), 12 (International Classifications and Standards) (partly) and 14 (Services for Access to Knowledge) (partly).

3.1.2 PCT Union: Programs 1 (Patent Law and Innovation) (partly), 5 (The PCT System), 7 (Arbitration, Mediation and Domain Names) (partly), 12 (International Classifications and Standards) (partly), 13 (Global Databases) (partly) and 14 (Services for Access to Knowledge) (partly).

3.1.3 Madrid Union: Programs 2 (Trademarks, Industrial Designs and Geographical Indications) (partly), 6 (Madrid and Lisbon Systems) (partly), 7 (Arbitration, Mediation and Domain Names) (partly), 12 (International Classifications and Standards) (partly), 13 (Global Databases) (partly), 14 (Services for Access to Knowledge) (partly) and 25 (Information and Communication Technology).

3.1.4 Hague Union: Programs 2 (Trademarks, Industrial Designs and Geographical Indications) (partly), 7 (Arbitration, Mediation and Domain Names) (partly), 12 (International Classifications and Standards) (partly) and 14 (Services for Access to Knowledge) (partly) and 31 (The Hague System).

3.1.5 Lisbon Union: Programs 2 (Trademarks, Industrial Designs and Geographical Indications) (partly), 6 (Madrid and Lisbon Systems) (partly), 7 (Arbitration, Mediation and Domain Names) (partly) and 14 (Services for Access to Knowledge) (partly).

3.2 Union Direct Administrative Expenses: A share of all programs under Strategic Goal IX

(Programs 21 to 29) and “Unallocated” is considered to belong under this category. The allocation of budgeted expenditures is determined in a two-step process. In the first step, the total share of direct administrative costs for all Unions is determined on the basis of the total headcount of the direct union-related programs relative to the total headcount of all programs other than those under Strategic Goal IX. As a second step, this Union Direct administrative expense was allocated to the respective Unions on the basis of the relative share of each Union’s headcount to the total headcount of direct union-related programs.

185


4. UNION INDIRECT EXPENSES are each Union’s allocated share of budgeted expenses for Programs not directly related to the activities of the respective Union, together with the share of related administrative and other budgeted expenses.

4.1 Indirect Union expenses: The following Program activities and budgeted expenditures are considered under this heading: Programs 1 (Patent Law and Innovation) (partly), Programs 2 (Trademarks, Industrial Designs and Geographical Indications) (partly), 3 (Copyright and Related Rights) (partly), 8 (Development Agenda Coordination), 9 (Africa, Arab, Asia and the Pacific, Latin America and the Caribbean Countries, Least Developed Countries), 10 (Cooperation with Certain Countries in Europe and Asia and Some Mediterranean States), 11 (The WIPO Academy), 15 (Business Solutions for IP Offices), 16 (Economics and Statistics), 17 (Building Respect for IP), 18 (IP and Global Challenges), 19 (Communications) and 20 (External Relations, Partnerships and External Offices). The share of budgeted expenditures from each of these is allocated to Unions on the basis of their respective biennial capacity to pay. This is calculated as the difference between the respective Union’s projected income to be earned in the biennium and the Union’s other allocated expenses and minimum reserve requirements (“reserve target floor”). The reserve target floor’s calculation is based on the reserve requirements of the prior biennium’s expenditures. The methodology applied ensures a proportionate allocation of indirect expenditure to Unions on the basis of resources (surplus) earned in the current biennium, and only if the biennial surplus income is not sufficient, would excess reserves be used to cover the remaining part of indirect expenditure, on the basis of their relative share by Unions.

4.2 Indirect Administrative Expenses: These relate to budgeted expenditures under

Programs 21 to 29) which have not been allocated to Direct Union expenses, as well as the amount budgeted under “Unallocated” in the proposed budget. The allocation of these budgeted expenditures is done on the basis of their respective capacity to pay (i.e., along the same principles as for Indirect Union expenses).

5. In accordance with the above methodology, tables indicating the following are presented below:

Table 14. 2012/13 Financial Overview by Union Table 15. 2012/13 Income Estimates by Union Table 16. 2012/13 Budget by Program and Union Table 17. 2012/13 Overall Scenario by Union

186

Annexes

Table 14. 2012/13 Financial Overview by Union


CF Unions PCT Union Madrid Union Hague Union Lisbon Union TotalAmount % Amount % Amount % Amount % Amount % Amount %

2012/13 Income 36,479 488,117 109,872 12,111 850 647,430

2012/13 Expenditure 36,467 487,517 109,420 12,501 1,526 647,430

Surplus/Deficit 12 600 453 -390 -675 -

RWCF, Target 18,234 50.0 73,128 15.0 27,355 25.0 1,875 15.0 - n/a 120,591 18.6*RWCF targets are calculated as percent of the biennial expenditure for each union

Table 15. 2012/13 Income Estimates by Union (in thousands of Swiss francs)


Amount % of Amount % of Amount % of Amount % of Amount % of Amount % ofunion total total total total total

Contributions 34,868 95.6 - - - - - - - - 34,868 5.4 Fees - - 480,631 98.5 104,400 95.0 11,157 92.1 10 1.2 596,198 92.1 Arbitration 142 0.4 1,734 0.4 821 0.7 33 0.3 5 0.6 2,735 0.4 Publications 100 0.3 450 0.1 400 0.4 50 0.4 - - 1,000 0.2 Miscellaneous 1,369 3.8 5,303 1.1 4,252 3.9 871 7.2 835 98.2 12,629 2.0

TOTAL 36,479 100.0 488,117 100.0 109,872 100.0 12,111 100.0 850 100.0 647,430 100.0

187


Table 16. 2012/13 Budget by Program and Union


Contribution-financed PCT Union Madrid Union Hague Union Lisbon Union TotalUnions

Amount % of % of Amount % of % of Amount % of % of Amount % of % of Amount % of % of Amount % of % ofprog union prog union prog union prog union prog union prog union

1 Patent Law 383 7.9 1.0 4,377 90.4 0.9 83 1.7 0.1 - - - - - - 4,843 100.0 0.7 2 Trademarks, Industrial Designs and Geographical Indications 893 14.8 2.4 1,596 26.4 0.3 2,918 48.2 2.7 646 10.7 5.2 - - - 6,053 100.0 0.9 3 Copyright and Related Rights 13,208 71.0 36.2 5,017 27.0 1.0 368 2.0 0.3 - - - - - - 18,593 100.0 2.9

4 Traditional Know ledge, Traditional Cultural Expressions and Genetic Resources

7,980 100.0 21.9 - - - - - - - - - - - - 7,980 100.0 1.2

5 The PCT System - - - 178,600 100.0 36.6 - - - - - - - - - 178,600 100.0 27.6 6 Madrid, and Lisbon Systems - - - - - - 51,228 98.3 46.8 - - - 866 1.7 56.8 52,094 100.0 8.0

31 The Hague System - - - - - - - - - 6,970 100.0 55.8 - - - 6,970 100.0 1.1 7 Arbitration, Mediation and Domain Names 550 5.2 1.5 6,711 63.4 1.4 3,175 30.0 2.9 127 1.2 1.0 21 0.2 1.4 10,585 100.0 1.6 8 Development Agenda Coordination 86 1.8 0.2 4,380 91.5 0.9 321 6.7 0.3 - - - - - - 4,788 100.0 0.7

9 Africa, Arab, Asia and the Pacif ic, Latin America and the Caribbean Countries, Least Developed Countries

633 1.8 1.7 32,114 91.5 6.6 2,354 6.7 2.2 - - - - - - 35,102 100.0 5.4

10 Cooperation w ith Certain Countries in Europe and Asia 116 1.8 0.3 5,891 91.5 1.2 432 6.7 0.4 - - - - - - 6,439 100.0 1.0 11 The WIPO Academy 186 1.8 0.5 9,453 91.5 1.9 693 6.7 0.6 - - - - - - 10,332 100.0 1.6 12 International Classif ications and Standards 496 7.2 1.4 6,105 88.1 1.3 248 3.6 0.2 83 1.2 0.7 - - - 6,932 100.0 1.1 13 Global Databases - - - 4,053 90.0 0.8 450 10.0 0.4 - - - - - - 4,503 100.0 0.7 14 Services for Access to Know ledge 153 2.2 0.4 5,505 78.2 1.1 1,239 17.6 1.1 137 1.9 1.1 4 0.1 0.2 7,038 100.0 1.1 15 Business Solutions for IP Off ices 141 1.8 0.4 7,148 91.5 1.5 524 6.7 0.5 - - - - - - 7,813 100.0 1.2 16 Economics and Statistics 83 1.8 0.2 4,195 91.5 0.9 308 6.7 0.3 - - - - - - 4,585 100.0 0.7 17 Building Respect for IP 54 1.8 0.1 2,738 91.5 0.6 201 6.7 0.2 - - - - - - 2,992 100.0 0.5 18 IP and Global Challenges 122 1.8 0.3 6,192 91.5 1.3 454 6.7 0.4 - - - - - - 6,768 100.0 1.0 19 Communications 300 1.8 0.8 15,186 91.5 3.1 1,113 6.7 1.0 - - - - - - 16,599 100.0 2.6 20 External Relations, Partnerships and External Offices 197 1.8 0.5 9,983 91.5 2.0 732 6.7 0.7 - - - - - - 10,912 100.0 1.7 21 Executive Management 907 4.8 2.5 14,257 75.2 2.9 3,346 17.7 3.1 385 2.0 3.1 54 0.3 3.5 18,948 100.0 2.9 22 Program and Resource Management 904 4.8 2.5 14,221 75.2 2.9 3,338 17.7 3.1 384 2.0 3.1 54 0.3 3.5 18,901 100.0 2.9 23 Human Resources Management and Development 1,028 4.8 2.8 16,171 75.2 3.3 3,795 17.7 3.5 437 2.0 3.5 61 0.3 4.0 21,493 100.0 3.3 24 General Support Services 2,214 4.8 6.1 34,814 75.2 7.1 8,171 17.7 7.5 940 2.0 7.5 132 0.3 8.6 46,271 100.0 7.1 25 Information and Communication Technology 2,297 4.6 6.3 36,121 71.7 7.4 10,878 21.6 9.9 976 1.9 7.8 137 0.3 9.0 50,408 100.0 7.8 26 Internal Oversight 242 4.8 0.7 3,799 75.2 0.8 892 17.7 0.8 103 2.0 0.8 14 0.3 0.9 5,050 100.0 0.8 27 Conference and Language Services 1,782 4.8 4.9 28,019 75.2 5.7 6,576 17.7 6.0 757 2.0 6.1 106 0.3 6.9 37,240 100.0 5.8 28 Safety and Security 582 4.8 1.6 9,148 75.2 1.9 2,147 17.7 2.0 247 2.0 2.0 35 0.3 2.3 12,159 100.0 1.9 29 Construction Projects 367 4.8 1.0 5,774 75.2 1.2 1,355 17.7 1.2 156 2.0 1.2 22 0.3 1.4 7,675 100.0 1.2 30 SMEs and Innovation 203 1.8 0.6 10,302 91.5 2.1 755 6.7 0.7 - - - - - - 11,261 100.0 1.7

Unallocated 359 4.8 1.0 5,645 75.2 1.2 1,325 17.7 1.2 152 2.0 1.2 21 0.3 1.4 7,503 100.0 1.2 TOTAL 36,467 5.6 100.0 487,517 75.3 100.0 109,420 16.9 100.0 12,501 1.9 100.0 1,526 0.2 100.0 647,430 100.0 100.0

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Table 17. 2012/13 Overall Scenario by Union (in thousands of Swiss francs)


Amount % Amount % Amount % Amount % Amount % Amount %

2012/13 Income 36,479 488,117 109,872 12,111 850 647,4302012/13 Expenditure

Direct Union 23,512 204,219 61,542 7,963 891 298,126Direct Admin 9,645 115,496 35,576 4,538 635 165,890

Sub-total, Direct 33,157 319,715 97,118 12,501 1,526 464,016

Indirect Union 2,275 115,328 8,455 0 0 126,058Indirect Admin 1,035 52,475 3,847 0 0 57,357

Sub-total, Indirect 3,310 167,802 12,302 0 0 183,414Total, Allocated Expenditure 36,467 487,517 109,420 12,501 1,526 647,430

Surplus/Deficit 12 600 453 -390 -675 - RWCF, Target 18,234 50.0 73,128 15.0 27,355 25.0 1,875 15.0 - n/a 120,591 18.6

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ANNEX IV EVOLUTION AND DEMAND FOR SERVICES UNDER THE PCT, MADRID AND THE HAGUE SYSTEMS IN THE MEDIUM TERM

PCT 1. The level of PCT income is influenced by a variety of factors, including demand for PCT services and applicants’ filing behavior. Demand for PCT services is in turn influenced by a number of factors that may be internal or external to the patent system. External factors include: performance of the economy globally, and in countries of the highest and fastest growing demand; research and development (R&D) investment levels; technological confidence levels; and exchange rate fluctuations. Internal factors include: the level of PCT fees as compared to other filing routes; the attractiveness and value of PCT services as compared to other filing routes; the overall credibility of performance of the patent system; and individual corporate patent strategies. 2. Applicants’ behavior influences PCT income as follows:

(i) Page Fee: The International Bureau receives 15 Swiss francs for every page over 30 pages in a given application.

(ii) International Preliminary Examination: Applicants making use of international preliminary examination under Chapter II of the PCT must pay an additional fee (a “handling fee”).

(iii) Electronic Filing: When applicants use electronic (instead of paper) filing they benefit from discounts.

(iv ) International Bureau as Receiving Office: Applicants who choose to file their application

with the International Bureau acting as Receiving Office (IB/RO) must pay a special fee (the “transmittal fee”).

3. The following paragraphs elaborate on current forecasts as regards: the level of demand; the expected level of Chapter II demands; the expected level of electronic filings; and the expected use of IB/RO4. PCT Filing Forecast (Demand) 4. After falling in 2009 by close to 5 per cent year-to-year, PCT filings grew by 5.3 per cent in 2010, thanks to strong filings by applicants from China (+56 per cent), the Republic of Korea (+21 per cent) and Japan (+8 per cent), and a moderate recovery observed at the EPO (+3 per cent). They fully recovered to pre-crisis levels, as the continued drop in US PCT filings was offset by strong performance in other major PCT filing countries. 5. Chart 1 shows the forecasted number of PCT applications for the years 2011 to 2015 (based on data at the end of March 2011). The following assumption serves as the basis of the forecast: PCT filings will return to their original trends after the period when financial crisis had an impact on them.

4 All statistics are based on the date of filing of PCT applications or Chapter II demands.

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Chart 1. PCT Applications 2009 to 2015

2009 2010 2011 2012 2013 2014 2015

PCT Filings 155,397 163,700 174,500 180,800 187,200 193,500 199,600

Growth -4.8% 5.3% 6.6% 3.6% 3.5% 3.4% 3.2%

High Bound +1,800 +8,300 +10,100 +12,000 +14,200 +16,400

Low Bound -1,900 -9,100 -11,600 -14,300 -17,200 -20,300

PCT Filing Forecast

-4.8%

5.3% 6.6%3.6% 3.5% 3.4% 3.2%

80,000

100,000

120,000

140,000

160,000

180,000

200,000

220,000

240,000

2009 2010 2011 2012 2013 2014 2015

Num

ber o

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T ap

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atio

ns F

iled

-10%

0%

10%

20%

30%

40%

50%

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wth

6. Chart 2 below shows the forecasted numbers of files by the country of origin.

Chart 2. PCT Filings from Selected Countries 2010 to 2015

Country 2010 2011 2012 2013 2014 2015

AT 1,136 1,197 1,227 1,269 1,317 1,367

AU 1,776 1,888 1,950 1,994 2,033 2,070

BE 1,044 1,114 1,158 1,195 1,229 1,263

BR 487 535 573 612 651 689

CA 2,729 2,861 2,941 3,020 3,096 3,171

CH 3,699 3,905 4,067 4,209 4,341 4,468

CN 12,337 13,949 15,618 17,523 19,457 21,348

DE 17,506 18,465 19,084 19,667 20,226 20,769

DK 1,146 1,246 1,280 1,311 1,341 1,370

ES 1,750 1,762 1,815 1,882 1,958 2,038

FI 2,144 2,206 2,267 2,329 2,391 2,454

FR 7,451 8,042 8,156 8,424 8,697 8,969

GB 4,910 5,056 5,176 5,265 5,338 5,403

IL 1,490 1,671 1,745 1,812 1,874 1,935

IN 1,378 1,523 1,613 1,709 1,805 1,900

IT 2,653 2,772 2,875 2,969 3,057 3,139

JP 32,156 33,275 34,222 35,367 36,571 37,780

KR 9,686 10,969 11,719 12,540 13,369 14,182

NL 4,078 4,308 4,475 4,579 4,668 4,752

NO 697 683 697 714 731 747

RU 760 809 843 875 907 938

SE 3,231 3,416 3,518 3,599 3,675 3,748

SG 642 680 720 760 799 838

US 44,855 47,321 49,333 50,962 52,384 53,691

191


7. Chart 3 shows the evolution and forecast of the demand for the international preliminary examination procedure, under Chapter II of the PCT in the period up to 2015. As this chart shows, the demand for the Chapter II procedure is expected to stabilize at around 13,000 per year during the period 2010-2015. The long-term decline in the use of the Chapter II procedure is due to changes in the PCT regulations that came into effect in 2002 and in 2004. Since PCT applicants became less interested in requesting preliminary examination, the final results are likely to change towards lower bound.

Chart 3. Chapter II Demands 2007 to 2015

2007 2008 2009 2010 2011 2012 2013 2014 2015

Ch2 Demand 19,467 18,115 15,230 13,800 13,300 13,200 13,100 13,100 13,000

Growth -9.8% -6.9% -15.9% -9.2% -3.8% -0.4% -0.9% -0.6% -0.3%

High Bound +500 +2,800 +2,900 +3,100 +3,200 +3,400

Low Bound -400 -3,500 -5,300 -6,400 -7,100 -7,500 PCT Demand Forecast

-15.9%-9.2%

-3.8%

-0.4%

-0.9%

-0.6% -0.3%

0

2,000

4,000

6,000

8,000

10,000

12,000

14,000

16,000

18,000

2009 2010 2011 2012 2013 2014 2015

Num

ber o

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T D

eman

ds F

iled

-20%

-10%

0%

10%

20%

30%

40%

50%

60%

70%

Gro

wth

Use of Electronic Filing Methods 8. The estimated use of electronic filing methods (EASY, PDF or XML), as a percentage of total filings, is illustrated in Chart 4 below. As this chart shows, utilization of electronic filings has steadily increased in the period from 2000 to 2008. In the year 2010 electronic filing was close to 81 per cent of total filings and is expected to continue to grow.

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Chart 4. Use of Electronic Filing Methods (EASY, PDF or XML) as a Percentage of Total Filings 2000 to 2015

E-Filing Percentage Forecast

0%

10%

20%

30%

40%

50%

60%

70%

80%

90%

100%

2000 2001 2002 2003 2004 2005 2006 2007 2008 2009 2010 2011 2012 2013 2014 2015

Perc

enta

ge o

f PC

T ap

plic

atio

ns

XML PDF Easy Paper

2000 2001 2002 2003 2004 2005 2006 2007 2008 2009 2010 2011 2012 2013 2014 2015

Paper 71.3% 65.3% 59.0% 54.2% 51.2% 46.0% 42.4% 32.6% 26.0% 20.6% 19.1% 17.5% 15.9% 14.1% 12.6% 10.9%

Easy 28.7% 34.7% 41.0% 44.9% 34.7% 27.7% 25.2% 14.8% 10.1% 7.1% 6.8% 6.3% 6.0% 5.7% 5.3% 5.1%

PDF 0.0% 0.0% 0.0% 1.0% 5.5% 8.9% 14.1% 33.7% 43.9% 49.6% 50.9% 52.7% 54.4% 56.1% 57.6% 59.2%

XML 0.0% 0.0% 0.0% 0.0% 8.7% 17.4% 18.4% 18.9% 20.0% 22.8% 23.2% 23.5% 23.8% 24.1% 24.5% 24.9% 9. The estimated number of PCT international applications filed with the Receiving Office of the International Bureau (RO/IB) is shown in Chart 5 below. As this chart shows, this number is expected to increase gradually in the next few years.

Chart 5. PCT International Applications Filed with the RO/IB 2000 to 2015

2009 2010 2011 2012 2013 2014 2015

RO/IB filings 9,585 10,012 10,435 10,858 11,000 11,500 12,000

Growth 9.3% 4.5% 4.2% 4.1% 1.3% 4.5% 4.3%

Expected Level of PCT Income 10. Charts 6 and 7 show calculated PCT income in the period 2009 to 2010, and forecasted PCT income in the period from 2011 to 2015, by type of income. The charts are based on the expected level of applications (Chart 1), an estimate of the expected level of page fees, the expected level of Chapter II demands (Chart 3), the expected level of electronic filings (Chart 4) and the expected level of RO/IB filings (Chart 5). The current PCT schedule of fees is reproduced in Chart 9. 11. Chart 6 shows provides the hypothetical PCT income forecast which is based on the assumptions that (1) all fees are paid within the same of year of filing and (2) all fees are converted to Swiss francs according to WIPO official exchange rates. Hypothetical PCT income indicates the possible revenue generated by the filings, without considering when the money is paid and how it is converted to Swiss francs. Since most applicants eventually pay their fees, the hypothetical income forecast reflects the long-term revenue expectation. The calculation takes into account all the major elements of the PCT fee structure: withdrawals, e-filing reductions and fee reductions for low-income countries.

193


Chart 6. Hypothetical PCT Income Forecast until 2015

Hypothetical PCT Income Forecast

-40

0

40

80

120

160

200

240

280

320

2009 2010 2011 2012 2013 2014 2015

Hyp

othe

tical

PC

T In

com

e (M

illion

CH

F

Basic fee Page fee Handling fee E-Filing reduction Hypothetical PCT income Series4 Series7

Hypothetical PCT income forecast

2009 2010 2011 2012 2013 2014 2015

Basic fee 198.2 209.5 222.8 230.8 239.0 246.8 254.4

Page fee 33.8 36.0 37.7 39.2 40.6 42.0 43.4

E-Filing reduction -26.0 -28.1 -30.5 -32.3 -34.2 -36.0 -37.9

Handling fee 3.0 2.7 2.6 2.6 2.6 2.6 2.5

RO/IB transmittal fee 0.9 0.9 1.0 1.0 1.0 1.1 1.1

Hypothetical PCT income 209.9 221.1 233.6 241.3 249.0 256.5 263.5

Growth -8.2% 5.3% 5.7% 3.3% 3.2% 3.0% 2.8%

High Bound +2.5 +11.5 +13.8 +16.4 +19.1 +22.0

Low Bound -2.6 -12.7 -16.3 -20.0 -23.8 -27.8 Impact of Payment Delay on PCT Income 12. The hypothetical income forecast assumes that fees are paid within the same year of filing. However, WIPO receives payments with a delay ranging from one to six months. Some applicants – especially those who file at the beginning of the year – pay within the same year of filing (usually around 85 per cent), while others pay in the following year (usually around 15 per cent). Therefore, actual PCT income in any given year consists of a portion of payments for filings in the previous year plus a portion of payments for those in the same year. As a result, the money received in a year does not equal to that generated by the filings in the same year. Annual differences between hypothetical and real income do not alter the long-term overall income. Any income shortfall due to payment delays will likely be compensated in the following year. If a large portion of the payment is delayed to next year, this year’s actual income will fall, but next year’s will be higher. On the other hand, if a smaller portion of the payment is shifted to next year, this year’s actual income will rise and next year’s will fall. In 2009, a relatively small portion of payment – around 13.3 per cent – was delayed to 2010, leading to a gain of eight million for 2009 actual income and a loss of six million for 2010. The adjusted PCT income forecasts until 2015 taking into account the impact of the payment delay is presented below in Chart 7.

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Chart 7. Adjusted PCT Income Forecast until 2015

Adjusted PCT Income Forecast

-4.2%

-0.3%

9.3%

3.1% 3.2% 3.0% 2.8%

100

140

180

220

260

300

2009 2010 2011 2012 2013 2014 2015

Adju

sted

PC

T In

com

e (M

illion

CH

F

-10%

0%

10%

20%

30%

40%

Gro

wth

Adjusted PCT income forecast

2009 2010 2011 2012 2013 2014 2015

Hyperthetical PCT income 209.9 221.1 233.6 241.3 249.0 256.5 263.5

Gain by exchange rate 4.7 4.8 5.0 5.1 5.3

Loss by exchange rate -3.9 -1.4 -4.7 -4.8 -5.0 -5.1 -5.3

Gain/loss by payment delay 7.8 -6.5 -0.6 -1.2 -1.2 -1.1 -1.1

Adjusted PCT income forecast 213.8 213.1 233.0 240.2 247.9 255.4 262.5

Growth -4.2% -0.3% 9.3% 3.1% 3.2% 3.0% 2.8%

High bound +2.5 +16.2 +18.6 +21.4 +24.3 +27.3

Low bound -2.6 -17.4 -21.1 -25.0 -29.0 -33.1 13. For budgeting purposes, the figures appearing in Chart 7 have been adjusted downward by 1.5% as a risk aversion adjustment, which primarily relates to the possible negative impact of exchange rate fluctuations to the base case. It is recalled however that the effect of exchange rate fluctuations between the time applications are filed with a receiving office and the time their corresponding fees reach the International Bureau may be positive or negative. Therefore, this adjustment represents a prudent approach to the financial forecast.

Chart 8. PCT Fee Schedule

(as of January 1, 2004) (in Swiss francs)

Basic Fee 1,400 Fee for pages over 30 15 E-filing Fee Reduction -100 (Easy) -200 (PDF) -300 (XML) RO/IB transmittal fee 100 Handling Fee 200

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Chart 9. Revised PCT Fee Schedule

(as of July 1, 2008) (in Swiss francs)

Basic Fee 1,330Fee for pages over 30 15E-filing Fee Reduction -100 (Easy)

-200 (PDF)-300 (XML)

RO/IB transmittal fee 100Handling Fee 200

Madrid

Madrid - Forecast of Demand for International Registration

14. Chart 10 shows the actual number of Madrid applications filed in the period from 2006 to 2010, and the five-year forecast for the years 2010 to 2015.

Chart 10. Madrid Demand for International Registration

Madrid Applications

36,4

71

39,9

45

42,0

75

35,1

95

39,8

43

42,2

00

43,6

00

45,0

00

46,5

00

48,0

00

0

10,000

20,000

30,000

40,000

50,000

60,000

2006 2007 2008 2009 2010 2011 2012 2013 2014 2015

2006 2007 2008 2009 2010 2011 2012 2013 2014 2015

Applications 36,471 39,945 42,075 35,195 39,843 42,200 43,600 45,000 46,500 48,000Growth 8.7% 9.5% 5.3% -16.4% 13.2% 5.9% 3.3% 3.2% 3.3% 3.2%

15. Estimates for the period 2011 to 2015 are based on a forecast model that takes into account the evolution of demand over the last 15 years, the analysis of the short term trend and a gradual increase in membership in the Madrid system expected for the years to come. This and other exogenous factors, such as a sudden significant increase in membership, may lead to revised results. Thus, a growth of around 5.9 per cent is forecast for the year 2011. Thereafter, following the historical average, the figures indicated in Chart 10 for 2012 to 2015 are in the range of some 3.3 per cent annual growth.

Madrid - Forecast of Demand for Renewals

16. Chart 11 shows the actual number of renewals recorded in the period from 2001 to 2010, and the five-year forecast for the years 2011 to 2015.

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Chart 11. Madrid Demand for Renewals

Madrid Renewals

15,2

05

17,4

78

19,4

72

19,2

34

21,9

49

21,9

00

21,3

00

22,0

00

25,0

00

27,0

00

0

5,000

10,000

15,000

20,000

25,000

30,000

2006 2007 2008 2009 2010 2011 2012 2013 2014 2015

2006 2007 2008 2009 2010 2011 2012 2013 2014 2015

Renewals 15,205 17,478 19,472 19,234 21,949 21,900 21,300 22,000 25,000 27,000Growth 102.8% 14.9% 11.4% -1.2% 14.1% -0.2% -2.7% 3.3% 13.6% 8.0% 17. In the last ten years, the number of renewals varied according to the number of registrations and renewals expiring in each given year, representing a renewal rate of 47 per cent on average. 18. The forecast for the period 2011 to 2015 is based on the renewal trends observed in the last 15 years, and on the actual number of registrations due to expire (unless they are renewed) in the next six years. Estimated figures have been calculated on the basis of a 47 per cent renewal rate on the number of registrations and renewals expiring in each given year.

Expected Level of Madrid Fee Income

19. Madrid fee income derives from three categories of services offered by WIPO under the Madrid System, namely: (a) the recording of international registrations; (b) the recording of renewals; (c) other services, including the recording of subsequent designations and other modifications and the issuance of extracts. The percentage of fee income attributable to each of these categories of services has varied over time, but has been stable from 2008 to 2010. In 2010, the services falling under these three categories accounted for 54.7 per cent, 29.6 per cent and 15.7 per cent of the Madrid total fee income, respectively. 20. Chart 12 below shows actual figures of Madrid fee income for the period 2006 to 2010, and estimated figures of Madrid fee income for the period 2011 to 2015, attributable to each of the above-mentioned three categories of services. Income estimates are based on the numbers of international registrations and renewals that are expected to get recorded from 2011 to 2015, as indicated in Table 1 below (which are, in turn, based on the forecast for applications and renewals given in Charts 10 and 11, above).

197


Chart 12. Expected Level of Madrid Fee Income, by Source

Madrid Fee Income (in ,000 Sfr.)

0

10,000

20,000

30,000

40,000

50,000

60,000

70,000

2006 2007 2008 2009 2010 2011 2012 2013 2014 2015

Registrations Renewals Others 2006 2007 2008 2009 2010 2011 2012 2013 2014 2015

Registrations 25,727 26,602 28,588 25,447 26,500 28,767 29,445 30,282 31,509 32,236Renewals 9,929 11,745 13,050 12,560 14,333 14,301 13,909 14,373 16,310 17,694Others 7,377 8,927 7,808 7,400 7,607 7,800 8,000 8,400 8,800 9,200

Total 43,033 47,274 49,446 45,407 48,440 50,868 51,354 53,055 56,619 59,130 21. For the years 2008 to 2010, the ratio between income from international registrations and renewals, on the one hand, and income from other services, on the other hand, was stable at 84/16, on average. For the years to come, the ratio may be estimated to be 84/16 as well. 22. Table 18 below, provides information on the actual and expected numbers of registrations and renewals for the period 2006 to 2015 and on the actual and expected evolution of the average fee during that period. The average fee is calculated as the total Madrid fee income divided by the total number of registrations and renewals in any given year.

Table 18. Madrid Total Fee Income and Average Fee

2006 2007 2008 2009 2010 2011 2012 2013 2014 2015

Registrations 37,224 38,471 40,985 35,925 37,533 40,900 42,100 43,500 44,900 46,000Renewals 15,205 17,478 19,472 19,234 21,949 21,900 21,300 22,000 25,000 27,000Registrations + Renewals 52,429 55,949 60,457 55,159 59,482 62,800 63,400 65,500 69,900 73,000% growth over previous year 28.9% 6.7% 8.1% -8.8% 7.8% 5.6% 1.0% 3.3% 6.7% 4.4%

Fee Income ('000 Sfr) 43,033 47,274 49,446 45,407 48,440 50,868 51,354 53,055 56,619 59,130 Fee Income (round off) 50,850 51,350 53,050 56,600 59,100 % growth over previous year 28.0% 9.9% 4.6% -8.2% 6.7% 5.0% 1.0% 3.3% 6.7% 4.4%Average Fee (Sfr) 821 845 818 823 814 810 810 810 810 810 23. As can be seen from Table 18, above, the average fee was 814 Swiss francs in 2010, 823 Swiss francs in 2009 and 818 Swiss francs in 2008. In 2007, the average fee amounted to 845. However, this figure is distorted due to the one-off fee income – 936 thousand Swiss francs – resulting from the special procedure that applied in 2007 in connection with the accession of Montenegro. Not counting the resulting additional revenue, the average fee was 828 in 2007. For the years to come, the average fee is being estimated at 810 Swiss francs, following a conservative approach. 24. It should be noted that the income estimates given above are based on the assumption that no changes to the schedule of fees payable to the International Bureau under the Madrid system will take place in the forthcoming years. Hague

The Hague - Forecast of Demand for International Registration

25. Chart 13 shows the actual number of Hague registrations recorded by the International Bureau in the period from 2006 to 2010, and the five-year forecast for the years 2011 to 2015.

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Chart 13. Hague Registrations and Renewals

Hague Registrations and Renewals

0

2,000

4,000

6,000

8,000

10,000

12,000

14,000

2006 2007 2008 2009 2010 2011 2012 2013 2014 2015

Registrations Registrations Renew als Renew als

2006 2007 2008 2009 2010 2011 2012 2013 2014 2015Registrations 1,143 1,147 1,522 1,681 2,216 2,900 5,000 7,500 9,300 10,000Renewals 3,889 4,205 3,152 2,748 2,783 2,700 2,800 2,500 2,400 2,500Total 5,032 5,352 4,674 4,429 4,999 5,600 7,800 10,000 11,700 12,500

Growth 0.2% 6.4% -12.7% -5.2% 12.9% 12.0% 39.3% 28.2% 17.0% 6.8% 26. The growth in registrations from 2008 to 2010 as compared to previous years was the result of the accession of the European Union (EM) to the Geneva Act that took effect on January 1, 2008 combined to tailored promotional activity undertaken throughout 2010. Estimates for the period 2011 to 2015 take into account a gradual increase in membership in the Hague system expected for the years to come, including some of the world’s largest sources of design filings and countries whose national regimes are likely to encourage users to file single-design applications as opposed to multiple ones. 27. The expected growth is important, with an estimated 39.3 per cent in 2012 and 28.2 per cent in 2013, but the margin of error of the forecast of Hague registrations for the period 2011 to 2015 is larger then usual, due to a higher exposure of the Hague system to exogenous factors, such as the possible accession of new members with a large potential for international industrial design registration activity.

Hague - Forecast of Demand for Renewals

28. Chart 14 also shows the actual number of renewals recorded in the Hague International Register in the period from 2006 to 2010, and the five-year forecast for the years 2011 to 2015. 29. For any given year, the number of renewals that can be expected depends on the number of registrations and renewals recorded five years earlier. The average renewal rate has been 51.9 per cent for the last 15 years, 53.5 per cent for the last ten years and 54.4 per cent for the last five years. 30. Estimates for the period 2011 to 2015 have been calculated on the basis of a rather conservative 53 per cent renewal rate.

Expected Level of Hague Income

31. Fee income under the Hague system results from three categories of services offered by WIPO, for which fees are charged, namely: (a) the recording and publication of international registrations; (b) the recording of renewals; (c) other services, including the recording of modifications and the issuance of extracts. In 2010, the services falling under those three categories accounted for 69 per cent, 24 per cent and 7 per cent of the total Hague fee income. This ratio is expected to gradually change in the years to come, as shown in chart 2, below.

199


32. Chart 14 below shows actual Hague total fee income in the period from 2006 to 2010, and estimated Hague total fee income for the period from 2011 to 2015.

Chart 14. Expected Level of Hague Fee Income, by Source

Hague Fee Income (in ,000 Sfr.)

01,0002,0003,0004,0005,0006,0007,0008,0009,000

2006 2007 2008 2009 2010 2011 2012 2013 2014 2015

Registrations Renewals Others

2006 2007 2008 2009 2010 2011 2012 2013 2014 2015

Registrations 1,168 1,160 1,655 1,627 2,063 2,691 3,900 5,400 6,696 7,200Renewals 1,038 1,113 839 703 714 691 717 640 614 640Others 221 230 287 250 195 210 240 260 280 310

Total 2,427 2,503 2,781 2,580 2,972 3,592 4,857 6,300 7,590 8,150 33. Income estimates for 2011 to 2015 are based on the expected numbers of international registrations and renewals (Chart 13), and an estimated average fee that would evolve from 623 in 2012 to 652 in 2015. The increase in the number of international registrations had an upward effect on the level of the average fee from 2008 to 2010 as compared to 2006 and 2007. This trend is expected to continue in 2011. From 2012, the average fee will be influenced by the number of designs per registration that is expected to slightly decrease (see paragraph 32, above).

Table 19. Hague Total Fee Income and Average Fee

2006 2007 2008 2009 2010 2011 2012 2013 2014 2015

Registrations 1,143 1,147 1,522 1,681 2,216 2,900 5,000 7,500 9,300 10,000Renewals 3,889 4,205 3,152 2,748 2,783 2,700 2,800 2,500 2,400 2,500Registrations and Renewals 5,032 5,352 4,674 4,429 4,999 5,600 7,800 10,000 11,700 12,500% growth over previous year 0.2% 6.4% -12.7% -5.2% 12.9% 12.0% 39.3% 28.2% 17.0% 6.8%

Fee Income ('000 Sfr) 2,427 2,503 2,781 2,580 2,972 3,592 4,857 6,300 7,590 8,150 % growth over previous year 1.2% 3.1% 11.1% -7.2% 15.2% 20.9% 35.2% 29.7% 20.5% 7.4%Average Fee (Sfr) 482 486 595 583 597 642 623 630 649 652 34. It should be noted that the income estimates given above are based on the assumption that no changes to the schedule of fees payable to the International Bureau under the Hague system will take place in the forthcoming years.

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ANNEX V FUNDS IN TRUST RESOURCES POTENTIALLY AVAILABLE FOR PROGRAMMING

Table 20. Funds in Trust Potentially Available for Programming in 2012/13 (by donor)

(in thousands of Swiss francs) 1

Estimated Estimated

Fund-in-Trust (FIT) Contributions Available for2012/13 2 Programming in

2012/13

Brazil 3 - - - Finland 4

Finland/Copyright I - - - Finland/Copyright II - - - Finland/Copyright III 50 100 150

Sub-Total, Finland 50 100 150

FranceFrance/Copyright 5 - - -

France/IP 100 300 400

Sub-Total, France 100 300 400

Italy6 649 500 1,149

JapanJapan/Copyright 7 250 938 1,188

Japan/IP/Africa 7 400 2,200 2,600

Japan/IP7 1,876 3,660 5,536

Sub-Total, Japan 2,526 6,798 9,324

Portugal 188 151 339

Republic of KoreaRepublic of Korea (IP)7 682 1,366 2,048

Republic of Korea (Copyright)7 430 660 1,090

Sub-Total, Korea 1,112 2,026 3,138

Spain8 100 475 575

United States of AmericaUS Copyright 4 100 500 600

US IP/Enforcement9 20 92 112

US SME10 200 - 200

Sub-Total, United States of America 320 592 912

EU/Bangladesh11 - - - EU/Pakistan12 214 972 1,186

TOTAL 5,045 10,942 17,173

Projected Balance End 2011

____________________________ 1 The figures do not include interest and exchange rate adjustments. It should also be noted that these funds generally provide for activities spanning a period of time exceeding or overlapping a single biennium, as income is received and expenditure incurred. 2 This column is purely indicative and is based on previous funding patterns. It does not represent Member States' commitments except in those cases where the FIT Agreement includes such a commitment. 3 Discussions are currently underway with the Government of Brazil with respect to a Bilateral Agreement to establish a new FIT Brazil. Discussions envisage that such a fund would be dedicated to support for South-South cooperation activities. Should these discussions be successfully concluded, it is intended that this table would be updated for the final version of the Program and Budget 2012/13. 4 Information is not available at this time on possible future contributions

5 Discussions are currently underway with the Government of France with respect to the France FIT (Copyright). It is intended

that this table will be updated for the final version of Program and Budget 2012/13 to reflect the outcome of these discussions.

[continued on the next page]

201


Table 21. Funds-in-Trust Resources Potentially Available for Programming in 2012/13 (by program) (in thousands of Swiss francs)

Program Donor Projected Balance end 2011

Estimated Contributions 2012/13

Estimated Available for Programming in 2012/13

Program 3 Finland I - - - Finland II - - - Finland III 50 100 150 France (Copyright) - - - Japan (Copyright) 250 938 1,188 Korea (Copyright) 430 660 1,090 US (Copyright) 100 500 600

Total Program 3 830 2,198 3,028 Program 9

Africa France IP 100 300 400 Japan (Africa) 400 2,200 2,600 Portugal 188 151 339

Sub-total Africa 688 2,651 3,339

Asia and Pacific Japan IP 1,876 3,660 5,536 Korea IP 682 1,366 2,048 EU (Bangladesh) - - - EU (Pakistan) 214 972 1,186

Sub-total Asia and Pacific 2,772 5,998 8,770

Latin America Spain 100 475 575

Sub-total Latin America 100 475 575 Total Program 9 12,684

Program 11 Italy 649 500 1,149

Program 17 US IP Enforcement 20 92 112

Program 30 US 200 - 200

TOTAL 17,173 Please refer to the footnotes in Table 1. It should also be noted that some of the FIT Agreements (EG Korea IP, Italy) provide resources for activities which extend beyond the region/program indicated in Table 2 above. _____________________________ [continued from the previous page] 6 Discussions are foreseen to take place with the Government of Italy with respect to the renewal of the estimated contribution. It is intended that this table will be updated for the final version of Program and Budget 2013/13 to reflect the outcome of these discussions. 7 Annual contributions vary and fluctuations have been observed from one year to another. 8 The figure provided for possible contributions in 2012/13 is provisional and the resources are specifically for activities in the LAC Region. 9 The figure indicated for planning is at present only for 2012 as the existing FIT Agreement is due to conclude in 2012. 10 Current understanding is that this FIT will finish at the end of 2011. 11 This FIT is due to end in 2011. 12 This is a new FIT established in connection with a joint project with UNIDO and the ITC which is to be funded by the EU.

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ANNEX VI INDICATORS OF PCT OPERATIONS

PERFORMANCE INDICATORS FOR THE EXPECTED RESULT “ENHANCED IB OPERATIONS”

Background 1. As background for the performance indicators for the expected result “Enhanced IB Operations”, it is useful to consider the evolution of:

• The PCT workloads; • The language distribution of those workloads; and • The number of staff assigned to process those workloads.

Workloads 2. The workloads are tracked on the basis of the yearly number of record copies received by the IB5.

Evolution of Record Copies by Medium of Filing

-4%23%

2%-9%11%

5%11%

12%

8%

14% 10%

0

50,000

100,000

150,000

200,000

2000 2001 2002 2003 2004 2005 2006 2007 2008 2009 2010

Year of Receipt at the International Bureau

Num

ber o

f Rec

ord

Cop

ies

rece

ived

Paper Paper and Electronic Filings (EASY) Fully Electronic Filings

The IB received over 162,000 record copies in 2010, representing an increase of 2 per cent compared to 2009. Whereas filings in 2010 are estimated to have increased by 5.7 per cent, this increase was not fully reflected in the IB’s 2010 workloads, because of the time lags between the date on which an international application is filed and the date of the receipt of the record copy by the IB.

The share of fully electronic filing methods kept increasing in 2010 and now represents

78 per cent of total filings. Language distribution

3. One fundamental development driving change in the IB is the increasing language diversity of filings, resulting, in particular, from increased usage of the PCT System in East Asian countries.

5 A record copy is a PCT application transmitted to the International Bureau by a receiving Office after its filing at, and its

processing by, that Office. Because record copies are only received at the International Bureau after processing at a receiving Office, the figures are strongly influenced by processing times at these Offices. For this reason, trends in the receipt of record copies, while valid indicators of International Bureau workloads do no accurately match trends in the filing of PCT applications.

203


Languages of Filing

0

20,000

40,000

60,000

80,000

100,000

120,000

2000 2001 2002 2003 2004 2005 2006 2007 2008 2009 2010

Year of filing

Lang

uage

s

English Japanese German French Chinese Korean Spanish Others 4. As can be observed, while English remains by far the most important language of filing, its importance has diminished relative to Japanese, Chinese and Korean. The following graph zooms in on the evolution of languages of filing other than English:

Languages of Filing

0

10,000

20,000

30,000

2000 2001 2002 2003 2004 2005 2006 2007 2008 2009 2010

Year of filing

Lang

uage

s

Japanese German French Chinese Korean Spanish Others

5. These evolutions put a considerable strain on the IB because it takes many years to adjust the language composition of the PCT Operations staff to ensure that it is more in line with these recent filing patterns.

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Annexes

Staff

6. The chart below shows the number of PCT Operations staff since 2000, in Full Time Staff Equivalent (FTSE - total number of full-time staff plus the full-time equivalent of the part-time staff).

Number of Personnel in PCT Operations

456

318

367*

356360

377

409

385

368

422

422

300

375

450

2000 2001 2002 2003 2004 2005 2006 2007 2008 2009 2010

Year

* Note that the increase in personnel in 2009 is due to the integration into the PCT Operations Division of two units which were not part of the Division prior to 2009 (and therefore were not counted as part of its personnel at that time). The units in question are the PCT Information Systems Service (30 persons) and the PCT fee handling team (2 persons). Without the integration of these two units, the number of personnel in the Division would have decreased from 356 in 2008 to 335 in 2009.

The PCT Operations Division’s personnel was reduced by 13 per cent in 2010 (49 staff less than in 2009). This reduction was mainly due to departures in the formality examination group following the Voluntary Separation Program. As a number of these now vacant positions will need to be filled, a moderate increase in the personnel count may be expected in the next few years.

Unit cost of processing an application 7. The definition of the unit cost used in this methodology is the average total cost of producing one unit of output, namely a PCT publication.6 Average total cost is determined by the total of the PCT expenditures plus a proportion of the expenditures of supporting and management activities. The unit cost is therefore an average total cost per publication and includes the cost of all PCT activities including translation, communication, management, etc. 8. The cost of production has been divided into two parts, the direct and the indirect cost. The direct cost corresponds to the expenditures of the units of the PCT system (the Administration of the PCT system and programs). The indirect cost includes the expenditures of the organization units that support the PCT system (e.g. Building, IT). These expenditures must be weighted in order to take into account only their share attributable to the PCT system. The cost of storage of published applications has been added to the formula since the PCT system must store applications for 30 years.

6 Republications and other forms of rework or additional work are not considered outputs.

205


Unit Cost of PCT Processing (in Swiss Francs)

649 583 538 532 509 540 536

393351

295 302 271 282 220

0

200

400

600

800

1,000

1,200

2004 2005 2006 2007 2008 2009 2010

Processing Year

Cos

t of P

roce

ssin

g (C

HF)

Direct cost Indirect cost

1,042

821780833833

934

756

Although the number of applications published was 2 per cent lower in 2010 than it was in

2009, cost reductions in 2010 were such that the unit cost per application was reduced by 8 per cent to reach 756 Swiss francs. The principal causes of this decrease in the unit cost are reductions in the indirect costs associated with the processing of applications and staff reductions in the PCT Operations Division, resulting from, inter alia, the Voluntary Separation Program.

Productivity of formality examination 9. The definition of staff productivity is output (i.e., number of PCT publications) divided by the number of available staff for formality examination.

Productivity of formality examination

7%

6%17% 8%

9%

0%

0

250

500

750

1,000

2004 2005 2006 2007 2008 2009 2010

Year

Pub

licat

ions

per

Per

sonn

el

Historically, productivity of formality examination has increased, mainly due to automation which has permitted the processing of much larger workloads with less staff.

Aggregate quality of formality examination 10. In order to capture quality in a simple and comprehensive way, a single aggregate quality indicator has been developed, constructed from a set of four lead quality indicators.

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Annexes

11. The quality indicator is the simple average of four lead indicators, three of which are based on the timeliness of key transactions in the PCT system – issuance of Form 301, publication and republication. The fourth indicator shows the number of quality defects resulting in republication code R5 (errors in bibliographical data, mostly due to manual data entry errors).

Quality indicator

50%

60%

70%

80%

90%

100%

1 2 3 4 1 2 3 4 1 2 3 4 1 2 3 4 1 2 3 4 1 2 3 4 1 2 3 4 1 2 3 4 1 2 3 4 1 2 3 4 1 2 3 4

2000 2001 2002 2003 2004 2005 2006 2007 2008 2009 2010

Quality as measured by the aggregate index has markedly improved, reaching 95.3 per cent

in the final quarter of 2010, which is the highest it has been in a decade. Timeliness of formality examination 12. This indicator reflects in more detail one of the components of the aggregate quality indicator, namely the time required by the IB to issue Form 301. This form is issued after the formality examination of the application has been completed. Applicants appreciate receiving this Form as soon as possible because it allows them to know whether their application has any formal defects.

12.5 5.0 8.4 18.8 16.9 9.9 7.6 17.5 25.9 39.9 33.1Share of Record Copies where a Notification of Receipt has been sent within one W

0

25

50

75

100

Dis

tribu

tion

by D

elay

s (%

)

2000 2001 2002 2003 2004 2005 2006 2007 2008 2009 2010Year of Receipt of the Record Copy

< 1 week between 1 - 2 weeks between 2 - 3 weeks between 3 - 4 weeks > 4 weeks

207


Timeliness of publication 13. This indicator reflects in more detail one of the components of the aggregate quality indicator, namely the time required by the IB to publish the application. Article 21 (2) (a) of the PCT states that the “… international publication of the international application shall be effected promptly after the expiration of 18 months from the priority date of that application.”

42.7 57.3 44.1 22.0 7.4 8.4 49.1 43.1 54.8 65.9 74.2Share of PCT Applications published within one Week (%)

0

25

50

75

100

Dis

tribu

tion

by D

elay

s (%

)

2000 2001 2002 2003 2004 2005 2006 2007 2008 2009 2010Publication Year

< 1 week between 1 - 2 weeks between 2 - 3 weeks between 3 - 4 weeks > 4 weeks

Quality of translation 14. Translations of abstracts and reports prepared under the responsibility of the IB are subjected to a quality control process based on a sample. The results are classified in two categories: translations that are deemed acceptable and those that are deemed not acceptable. This performance indicator tracks the quality of the translations as reflected in the samples.

Quality of Translation

87.4 86.5

12.6 13.5

0%

20%

40%

60%

80%

100%

2009 2010

Acceptable Not acceptable

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Filings at the IB as Receiving Office (RO/IB) 15. This table presents PCT filings by the top ten receiving offices over the past five years to 2010. In principle, a PCT application is filed at the national patent office of the applicant’s home country or at a regional patent office acting for the applicant’s home jurisdiction. The IB is a competent receiving office for applicants from all PCT contracting states. The evolution of the filings at the RO/IB, its ranking among other receiving offices, as well as its market share are also reflected in this table.

International Filing Date Changed2010 compared

Receiving Offices 2006 2007 2008 2009 2010 Share to 2009(%) (%)

United States of America 51,850 54,594 52,050 46,045 45,093 27.5 -2.1Japan 26,421 26,935 28,027 29,291 31,555 19.3 7.7European Patent Office 23,382 26,061 29,494 27,360 29,032 17.7 6.1China 3,827 5,400 6,081 8,000 12,918 7.9 61.5Republic of Korea 5,918 7,060 7,911 8,025 9,639 5.9 20.1International Bureau 8,688 9,184 9,050 8,692 8,721 5.3 0.3United Kingdom 5,188 5,548 5,272 4,627 4,431 2.7 -4.2France 3,862 3,810 3,805 3,771 3,459 2.1 -8.3Canada 2,143 2,370 2,299 1,895 2,064 1.3 8.9Sweden 2,123 2,246 2,318 2,045 1,783 1.1 -12.8All others 16,239 16,718 16,929 15,646 15,005 9.2 -4.1Total 149,641 159,926 163,236 155,397 163,700 100.0 5.3Source: WIPO Statistics Database

209

ANNEX VII WIPO ORGANIGRAM

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Annexes

ANNEX VIII ANNUAL BUDGET TABLES FOR IPSAS REPORTING 1. At the forty-third session of the Assemblies from September 24 to October 3, 2007, the Member States agreed in principle to the adoption by WIPO of IPSAS by 2010 (reference document A/43/5). This agreement formed part of a United Nations system-wide initiative endorsed by the General Assembly (A/RES/60/283(IV)I) to replace the existing United Nations Systems Accounting Standards (UNSAS) with IPSAS, which are internationally recognized. Accordingly, WIPO’s financial statements from the year 2010 are prepared in accordance with IPSAS. 2. WIPO’s budget continues to be adopted by the Assemblies on a biennial basis. In compliance with IPSAS, the Organization must present financial statements on an annual basis. For this purpose, annual budget figures are provided for both income and expenditure. 3. Within the context of the approval of the 2010/11 Program and Budget, the Member States approved the methodology for the annual presentation for WIPO’s biennial approved budget. Table 22 below provides the annual income amounts in accordance with this methodology.

Table 22. Annual Income 2004-2013 (in millions of Swiss francs)

2004

Actuals2005

Actuals2006

Actuals2007

Actuals2008

Actuals2009 Actuals 2010 Actuals 2011 Balance

(2010/11 Budget after transfers

less 2010 Actuals)

2012 Estimated

2013 Estimated

Assessed Contributions 17.2 17.2 17.3 17.4 17.4 17.4 17.4 17.4 17.4 17.4

Fee IncomePCT System 194.0 206.7 222.5 228.6 229.4 214.2 213.6 232.6 236.5 244.1Madrid System 27.2 33.6 43.0 47.3 49.4 45.4 48.5 57.5 51.4 53.1Hague System 2.6 2.4 2.4 2.6 2.8 2.6 3.0 4.4 4.9 6.3Lisbon System 0.0 0.0 0.0 0.0 0.0 0.0 0.0 0.0 0.0 0.0Sub-total Fee Income 223.7 242.7 268.0 278.5 281.7 262.1 265.1 294.5 292.7 303.5

Arbitration 1.0 1.4 1.6 1.6 1.6 1.7 1.8 0.9 1.4 1.4Publications 2.2 2.2 1.5 1.2 0.6 0.6 0.5 0.5 0.5 0.5Miscellaneous

Bank Interest 4.3 4.7 6.4 9.4 10.1 7.8 5.2 11.1 4.0 4.0Other 2.1 3.9 2.5 3.9 2.6 3.9 2.7 1.6 2.3 2.3Sub-total, Miscellaneous 6.3 8.6 9.0 13.3 12.6 11.7 7.9 12.7 6.3 6.3

TOTAL INCOME 250.6 272.2 297.3 312.0 313.9 293.5 292.7 326.0 318.3 329.1 4. In respect of WIPO’s expenditure budget, a 50/50 split is applied to the biennial budget figures in order to establish the annual budget view. It is noted that for 2010/11 personnel costs were presented on the basis of annual standard costs and therefore did not represent an exact 50/50 split. However, this was due to the differences in costing resulting from the implementation of the Voluntary Separation Program. In the absence of such a program in 2012/13, the personnel budget has been prepared on the basis of the biennial standard costs. Table 23 below provides the annual expenditure amounts accordingly.

Table 23. Annual Expenditure 2004-2013 (in millions of Swiss francs)

2004 Actuals

2005 Actuals

2006 Actuals

2007 Actuals

2008 Actuals

2009 Actuals 2010 Actuals 2011 Balance (2010/11 Budget

after transfers less 2010 Actuals)

2012 Estimated

2013 Estimated

Personnel Resources

Posts 142.9 157.9 153.6 159.6 165.3 171.8 171.7 175.5 180.9 180.9Short-term Professional 10.0 10.0Short-term General Service 15.2 15.2[Consultants] 8.2 6.0 5.6 5.0 3.9 5.7 5.8 6.0 n/a n/a[Short-term Employees] 25.6 23.6 23.8 23.2 22.5 22.8 20.4 16.3 n/a n/aInterns 0.3 0.2 0.4 0.8 0.6 0.6

Sub-total 176.7 187.5 182.9 187.8 191.9 200.5 198.2 198.6 206.7 206.7

Non-personnel Resources

Travel and Fellowships 7.2 12.7 13.4 21.5 18.0 16.1 15.7 26.9 20.8 20.8Contractual Services* 23.4 21.6 22.6 33.5 34.8 40.9 37.1 65.6 63.5 63.5 Operating Expenses 39.1 34.2 31.9 31.8 30.4 32.0 34.8 26.8 27.7 27.7Equipment and Supplies 3.3 5.6 2.0 5.1 6.6 5.6 3.6 11.4 5.0 5.0

Sub-total 73.0 74.0 69.9 91.9 89.8 94.5 91.2 130.7 117.0 117.0

TOTAL EXPENDITURE 249.7 261.5 252.9 279.8 281.7 295.1 289.4 329.2 323.7 323.7*Contractual Services have been restated for years 2004-2009 to include SSAs due to the change introduced in April 2010

211


ANNEX IX 2012/13 BUDGET BY EXPECTED RESULT AND PROGRAM

Prg. 1 Prg. 2 Prg. 3 Prg. 4 Prg. 5 Prg. 6 Prg. 7 Prg. 8 Prg. 9 Prg. 10 Prg. 11 Prg. 12 Prg. 13 Prg. 14 Prg. 15 Prg. 16 Prg. 17 Prg. 18 Prg. 19 Prg. 20 Prg. 21 Prg. 22 Prg. 23 Prg. 24 Prg. 25 Prg. 26 Prg. 27 Prg. 28 Prg. 29 Prg. 30 Prg. 31 UA

I.1

Enhanced cooperation / greater consensus among Member States on further developing the policy and legal framew ork for the international patent system, trademarks, industrial designs, geographical indications, copyright and related rights, TK, TCEs and GRs

3,105 3,753 3,364 5,034 - - - - - - - - - - - - - - - - - - - - - - - - - - - - 15,256

I.2


- 556 - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - 556

I.3 Evidence-based decision making on copyright issues

- - 2,754 - - - - - - - - - - - - - - - - - - - - - - - - - - - - - 2,754

I.4Tailored and balanced IP legislative, regulatory and policy framew orks 1,611 1,744 1,733 - - - - - 3,433 1,249 - - - - - - 311 - - - - - - - - - - - - - - - 10,080

II.1Informed strategic use of the PCT by all innovators w ho could potentially benefit from it

- - - - 6,380 - - - - - - - - - - - - - - 661 - - - - - - - - - - - - 7,041

II.2 Stronger relationships w ith PCT users and Offices

- - - - 16,897 - - - - - - - - - - - - - - - - - - - - - - - - - - - 16,897

II.3 Enhancement of overall PCT system - - - - 3,225 - - - - - - - - - - - - - - - - - - - - - - - - - - - 3,225

II.4 Enhanced IB operations - - - - 152,098 - - - - - - - - - - - - - - - - - - - - - - - - - - - 152,098

II.5 Increased aw areness of the Hague system

- - - - - - - - - - - - - - - - - - - - - - - - - - - - - - 2,185 - 2,185

II.6 Wider and better use of the Hague system

- - - - - - - - - - - - - - - - - - - - - - - - - - - - - - 2,153 - 2,153

II.7 Better administration of the Hague system

- - - - - - - - - - - - - - - - - - - - - - - - - - - - - - 2,633 - 2,633

II.8Better use of the Madrid & Lisbon systems, including by developing countries and LDCs

- - - - - 7,103 - - - - - - - - - - - - - 738 - - - - - - - - - - - - 7,841

II.9 Better operations of the Madrid & Lisbon systems

- - - - - 43,445 - - - - - - - - - - - - - - - - - - - - - - - - - - 43,445

II.10 Increased aw areness of the Madrid & Lisbon systems

- - - - - 1,546 - - - - - - - - - - - - - - - - - - - - - - - - - - 1,546

II.11


- - - - - - 3,175 - - - - - - - - - - - - - - - - - - - - - - - - - 3,175

II.12Effective intellectual property protection in the gTLDs and the ccTLDs

- - - - - - 7,409 - - - - - - - - - - - - - - - - - - - - - - - - - 7,409

III.1

Clearly defined and coherent national innovation and IP policies, strategies and development plans consistent w ith national development goals and objectives

- - - - - - - - 8,363 2,207 - - - - - - - - - - - - - - - - - - - - - - 10,570

III.2

Enhanced human resources capacities able to deal w ith the broad range of requirements for the effective use of IP for development in developing countries, LDCs and countries w ith economies in transition

- - 3,475 2,121 - - - - 15,420 1,461 6,387 - - - - - 1,261 - - 3,053 - - - - - - - - - 2,433 - - 35,611

III.3New or strengthened cooperation mechanisms, programs and partnerships in LDCs

- - - - - - - - 1,517 - - - - - - - - - - - - - - - - - - - - - - - 1,517

III.4 Easier access to IP education - - - - - - - - 681 - 3,222 - - - - - - - - - - - - - - - - - - - - - 3,903

III.5 Upgraded IP Management skills for business

- - - - - - - - 120 - 723 - - - - - - - - - - - - - - - - - - - - - 843

III.6


- - - - - - - 2,505 1,418 - - - - - - 276 - - - - - - - - - - - - - - - - 4,199

Expected Result No. and Description Budget by Expected Result and Program

(in thousands of Swiss francs)Total by

Expected Result

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Annexes


III.7Effective planning, implementation, monitoring, evaluation and reporting on the DA recommendations

- - - - - - - 759 461 - - - - - - - - - - - - - - - - - - - - - - - 1,220

III.8


- - - - - - - 1,523 - - - - - - - - - - - - - - - - - - - - - - - - 1,523

III.9


- - - 825 - - - - - - - - - - - - - - - - - - - - - - - - - - - - 825

III.10

Increased extra-budgetary resources available for IP for development, either through direct contributions to WIPO or access to other external funding mechanisms

- - - - - - - - - - - - - - - - - - - 1,769 - - - - - - - - - - - - 1,769

III.11

Increased understanding / capacity of SMEs and SMEs support institutions to successfully use IP to support innovation and commercialization

- - - - - - - - - - - - - - - - - - - - - - - - - - - - - 5,253 - - 5,253

IV.1

Updated and globally accepted system of international classif ications and WIPO standards to facilitate access, use and dissemination of IP information among stakeholders in the w orld

- - - - - - - - - - - 6,932 - - - - - - - - - - - - - - - - - - - - 6,932

IV.2

Enhanced access to, and use of, IP information and know ledge by IP institutions and the public to promote innovation and increased access to protected creative w orks and creative w orks in the public domain

- - 3,595 - - - - - - - - - 1,135 7,038 - - - - - - - - - - - - - - - 3,207 - - 14,974

IV.3Increased dissemination of digitized patent collections of national/regional off ices of WIPO Member States

- - - - - - - - - - - - 1,210 - - - - - - - - - - - - - - - - - - - 1,210

IV.4Timeliness of Patentscope updates regarding PCT applications - - - - - - - - - - - - 2,159 - - - - - - - - - - - - - - - - - - - 2,159

IV.5

Enhanced technical and know ledge infrastructure for IP Offices and other IP institutions leading to better services (cheaper, faster, higher quality) to their stakeholders

- - 3,673 - - - - - 3,690 1,522 - - - - 7,813 - - - - 135 - - - - - - - - - - - - 16,832

V.1Increased usage of WIPO statistical information on the performance of the international IP system

- - - - - - - - - - - - - - - 1,569 - - - - - - - - - - - - - - - - 1,569

V.2Take-up of WIPO economic analysis as an input into the formulation of IP policy

- - - - - - - - - - - - - - - 2,711 - - - - - - - - - - - - - - - - 2,711

V.3 Enhanced access to, and use of, IP-related legal information

- - - - - - - - - - - - - - - - - - - - 2,244 - - - - - - - - - - - 2,244

VI.1


- - - - - - - - - - - - - - - - 635 - - - - - - - - - - - - - - - 635

VI.2

Systematic, transparent and effective cooperation and coordination betw een the w ork of WIPO and other international organizations in the f ield of building respect for IP

- - - - - - - - - - - - - - - - 785 - - - - - - - - - - - - - - - 785

VII.1

Enhanced understanding among policy makers on the interface betw een global challenges and innovation and intellectual property as a basis for improved policy decision making

128 - - - - - - - - - - - - - - - - 1,040 - - - - - - - - - - - - - - 1,168



Expected Result

213



VII.2


- - - - - - - - - - - - - - - - - 2,149 - - - - - - - - - - - - - - 2,149

VII.3

IP-based tools are used for technology transfer from developed to developing countries, particularly least developed countries, to address global challenges

- - - - - - - - - - - - - - - 30 - 2,198 - - - - - - - - - - - 368 - - 2,596

VII.4


- - - - - - - - - - - - - - - - - 1,381 - - - - - - - - - - - - - - 1,381

VIII.1More effective communication to a broad public about intellectual property and WIPO’s role

- - - - - - - - - - - - - - - - - - 13,664 - - - - - - - - - - - - - 13,664

VIII.2Improved service orientation and responsiveness to inquiries - - - - - - - - - - - - - - - - - - 2,935 - - - - - - - - - - - - - 2,935

VIII.3WIPO effectively interacts and partners w ith UN and other IGO processes and negotiations

- - - - - - - - - - - - - - - - - - - 3,362 100 - - 190 - - - - - - - - 3,652

VIII.4Open, transparent and responsive interaction w ith NGOs - - - - - - - - - - - - - - - - - - - 1,194 - - - - - - - - - - - - 1,194

VIII.5Effective engagement w ith Member States - - - - - - - - - - - - - - - - - - - - 5,311 - - - - - - - - - - - 5,311

IX.1

Effective, eff icient, quality and customer-oriented support services both to internal clients and to external stakeholders (human

- - - - - - - - - - - - - - - - - - - - - - 8,790 44,747 45,827 - 37,240 - - - - - 136,604

IX.2

Efficient and effective results-based programmatic and f inancial planning, processing, implementation, assessment and reporting

- - - - - - - - - - - - - - - - - - - - - 18,901 - - - - - - - - - - 18,901

IX.3Well managed, diversif ied, motivated and appropriately skilled professional w orkforce

- - - - - - - - - - - - - - - - - - - - - - 12,703 - - - - - - - - - 12,703

IX.4WIPO staff , delegates, visitors and information and physical assets are safe and secure

- - - - - - - - - - - - - - - - - - - - - - - 393 2,433 - - 12,159 46 - - - 15,031

IX.5Costs related to the new administrative building are kept to a minimum

- - - - - - - - - - - - - - - - - - - - - - - - - - - - 7,020 - - - 7,020

IX.6 New conference hall and related facilities available for meetings of

- - - - - - - - - - - - - - - - - - - - - - - 202 - - - - 608 - - - 811

IX.7 Enhanced coordination and coherence w ithin the Secretariat

- - - - - - - - - - - - - - - - - - - - 10,255 - - - - - - - - - - - 10,255

IX.8

Improved w orking environment supported by enabling regulatory framew ork and effective channels to address staff concerns

- - - - - - - - - - - - - - - - - - - - 1,038 - - - - - - - - - - - 1,038

IX.9 Reduced impact of WIPO’s activities on the environment

- - - - - - - - - - - - - - - - - - - - - - - 299 - - - - - - - - 299

IX.10 Improved physical access to the WIPO Campus

- - - - - - - - - - - - - - - - - - - - - - - 439 - - - - - - - - 439

IX.11 An effective and professional internal audit function is in place

- - - - - - - - - - - - - - - - - - - - - - - - - 1,364 - - - - - - 1,364

IX.12Investigation reports provide a sound basis for decision making by the Director General

- - - - - - - - - - - - - - - - - - - - - - - - - 1,364 - - - - - - 1,364

IX.13


- - - - - - - - - - - - - - - - - - - - - - - - - 2,321 - - - - - - 2,321

IX.14ICT investments are closely aligned w ith strategic priorities and yield business benefits

- - - - - - - - - - - - - - - - - - - - - - - - 2,147 - - - - - - - 2,147

UA Unallocated - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - 7,503 7,503

4,843 6,053 18,593 7,980 178,600 52,094 10,585 4,788 35,102 6,439 10,332 6,932 4,503 7,038 7,813 4,585 2,992 6,768 16,599 10,912 18,948 18,901 21,493 46,271 50,408 5,050 37,240 12,159 7,675 11,261 6,970 7,503 647,430



Expected Result

Total by Program

214

Annexes

ANNEX X DEVELOPMENT AGENDA LINKS FOR PROGRAM AND BUDGET 2012/13

DEVELOPMENT AGENDA RECOMMENDATION PROGRAM LINKS

1. WIPO technical assistance shall be, inter alia, development-oriented, demand-driven and transparent, taking into account the priorities and the special needs of developing countries, especially LDCs, as well as the different levels of development of Member States and activities should include time frames for completion. In this regard, design, delivery mechanisms and evaluation processes of technical assistance programs should be country specific.

Program 1: Patent Law Program 2: Trademarks, Industrial Designs and Geographical Indications Program 3: Copyright and Related Rights Program 4: Traditional Knowledge, Traditional Cultural Expressions and Genetic Resources Program 5: The PCT System Program 6: Madrid and Lisbon Systems Program 7: Arbitration, Mediation and Domain Names Program 8: Development Agenda Coordination Program 9: Africa, Arab, Asia and the Pacific, Latin America and the Caribbean Countries, Least Developed Countries Program 10: Cooperation with Certain Countries in Europe and Asia Program 11: The WIPO Academy Program 14: Services for Access to Information and Knowledge Program 15: Business Solutions for IP Offices Program 16: Economics and Statistics Program 17: Building Respect for IP Program 21: Executive Management Program 30: Small and Medium-Sized Enterprises and Innovation Program 31: The Hague System

2. Provide additional assistance to WIPO through donor funding, and establish Trust-in-Funds or other voluntary funds within WIPO specifically for LDCs, while continuing to accord high priority to finance activities in Africa through budgetary and extra-budgetary resources, to promote, inter alia, the legal, commercial, cultural, and economic exploitation of intellectual property in these countries.

Program 8: Development Agenda Coordination Program 9: Africa, Arab, Asia and the Pacific, Latin America and the Caribbean Countries, Least Developed Countries Program 10: Cooperation with Certain Countries in Europe and Asia Program 15: Business Solutions for IP Offices Program 20. External Relations, Partnerships and External Offices Program 21: Executive Management Program 30: Small and Medium-Sized Enterprises and Innovation

3. Increase human and financial allocation for technical assistance programs in WIPO for promoting a, inter alia, development-oriented intellectual property culture, with an emphasis on introducing intellectual property at different academic levels and on generating greater public awareness on intellectual property.

Program 8: Development Agenda Coordination Program 9: Africa, Arab, Asia and the Pacific, Latin America and the Caribbean Countries, Least Developed Countries Program 10: Cooperation with Certain Countries in Europe and Asia Program 11: The WIPO Academy Program 15: Business Solutions for IP Offices Program 19. Communications Program 21: Executive Management

4. Place particular emphasis on the needs of small and medium-sized enterprises (SMEs) and institutions dealing with scientific research and cultural industries and assist Member States, at their request, in setting-up appropriate national strategies in the field of intellectual property.

Program 3: Copyright and Related Rights Program 8: Development Agenda Coordination Program 9: Africa, Arab, Asia and the Pacific, Latin America and the Caribbean Countries, Least Developed Countries Program 10: Cooperation with Certain Countries in Europe and Asia Program 11: The WIPO Academy Program 21: Executive Management Program 30: Small and Medium-Sized Enterprises and Innovation

215



5. WIPO shall display general information on all technical assistance activities on its website, and shall provide, on request from Member States, details of specific activities, with the consent of the Member State(s) and other recipients concerned, for which the activity was implemented.

Program 8: Development Agenda Coordination Program 9: Africa, Arab, Asia and the Pacific, Latin America and the Caribbean Countries, Least Developed Countries Program 10: Cooperation with Certain Countries in Europe and Asia Program 11: The WIPO Academy Program 21: Executive Management Program 30: Small and Medium-Sized Enterprises and Innovation

6. WIPO’s technical assistance staff and consultants shall continue to be neutral and accountable, by paying particular attention to the existing Code of Ethics, and by avoiding potential conflicts of interest. WIPO shall draw up and make widely known to the Member States a roster of consultants for technical assistance available with WIPO.

Program 1: Patent Law Program 2: Trademarks, Industrial Designs and Geographical Indications Program 3: Copyright and Related Rights Program 4: Traditional Knowledge, Traditional Cultural Expressions and Genetic Resources Program 5: The PCT System Program 6: Madrid and Lisbon Systems Program 7: Arbitration, Mediation and Domain Names Program 8: Development Agenda Coordination Program 9: Africa, Arab, Asia and the Pacific, Latin America and the Caribbean Countries, Least Developed Countries Program 10: Cooperation with Certain Countries in Europe and Asia Program 11: The WIPO Academy Program 14: Services for Access to Information and Knowledge Program 15: Business Solutions for IP Offices Program 16: Economics and Statistics Program 17: Building Respect for IP Program 21: Executive Management Program 30: Small and Medium-Sized Enterprises and Innovation Program 31: The Hague System

7. Promote measures that will help countries deal with intellectual property-related anti-competitive practices, by providing technical cooperation to developing countries, especially LDCs, at their request, in order to better understand the interface between IPRs and competition policies.

Program 8: Development Agenda Coordination Program 9: Africa, Arab, Asia and the Pacific, Latin America and the Caribbean Countries, Least Developed Countries Program 10: Cooperation with Certain Countries in Europe and Asia Program 18: IP and Global Challenges Program 21: Executive Management

8. Request WIPO to develop agreements with research institutions and with private enterprises with a view to facilitating the national offices of developing countries, especially LDCs, as well as their regional and sub-regional intellectual property organizations to access specialized databases for the purposes of patent searches.

Program 8: Development Agenda Coordination Program 9: Africa, Arab, Asia and the Pacific, Latin America and the Caribbean Countries, Least Developed Countries Program 10: Cooperation with Certain Countries in Europe and Asia Program 14: Services for Access to Information and Knowledge Program 21: Executive Management

9. Request WIPO to create, in coordination with Member States, a database to match specific intellectual property -related development needs with available resources, thereby expanding the scope of its technical assistance programs, aimed at bridging the digital divide.

Program 8: Development Agenda Coordination Program 9: Africa, Arab, Asia and the Pacific, Latin America and the Caribbean Countries, Least Developed Countries Program 10: Cooperation with Certain Countries in Europe and Asia Program 21: Executive Management

216

Annexes


10. To assist Member States to develop and improve national intellectual property institutional capacity through further development of infrastructure and other facilities with a view to making national intellectual property institutions more efficient and promote fair balance between intellectual property protection and the public interest. This technical assistance should also be extended to sub-regional and regional organizations dealing with intellectual property.

Program 3: Copyright and Related Rights Program 5: The PCT System Program 7: Arbitration, Mediation and Domain Names Program 8: Development Agenda Coordination Program 9: Africa, Arab, Asia and the Pacific, Latin America and the Caribbean Countries, Least Developed Countries Program 10: Cooperation with Certain Countries in Europe and Asia Program 14: Services for Access to Information and Knowledge Program 15: Business Solutions for IP Offices Program 21: Executive Management Program 30: Small and Medium-Sized Enterprises and Innovation

11. To assist Member States to strengthen national capacity for protection of domestic creations, innovations and inventions and to support development of national scientific and technological infrastructure, where appropriate, in accordance with WIPO’s mandate.

Program 8: Development Agenda Coordination Program 9: Africa, Arab, Asia and the Pacific, Latin America and the Caribbean Countries, Least Developed Countries Program 10: Cooperation with Certain Countries in Europe and Asia Program 21: Executive Management Program 30: Small and Medium-Sized Enterprises and Innovation

12. To further mainstream development considerations into WIPO’s substantive and technical assistance activities and debates, in accordance with its mandate.

Program 1: Patent Law Program 2: Trademarks, Industrial Designs and Geographical Indications Program 3: Copyright and Related Rights Program 4: Traditional Knowledge, Traditional Cultural Expressions and Genetic Resources Program 8: Development Agenda Coordination Program 9: Africa, Arab, Asia and the Pacific, Latin America and the Caribbean Countries, Least Developed Countries Program 10: Cooperation with Certain Countries in Europe and Asia Program 11: The WIPO Academy Program 17: Building Respect for IP Program 21: Executive Management Program 22: Program and Resource Management Program 30: Small and Medium-Sized Enterprises and Innovation

13. WIPO’s legislative assistance shall be, inter alia, development-oriented and demand-driven, taking into account the priorities and the special needs of developing countries, especially LDCs, as well as the different levels of development of Member States and activities should include time frames for completion.

Program 1: Patent Law Program 2: Trademarks, Industrial Designs and Geographical Indications Program 3: Copyright and Related Rights Program 8: Development Agenda Coordination Program 9: Africa, Arab, Asia and the Pacific, Latin America and the Caribbean Countries, Least Developed Countries Program 10: Cooperation with Certain Countries in Europe and Asia Program 17: Building Respect for IP Program 21: Executive Management

217



14. Within the framework of the agreement between WIPO and the WTO, WIPO shall make available advice to developing countries and LDCs, on the implementation and operation of the rights and obligations and the understanding and use of flexibilities contained in the TRIPS Agreement.

Program 1: Patent Law Program 2: Trademarks, Industrial Designs and Geographical Indications Program 3: Copyright and Related Rights Program 8: Development Agenda Coordination Program 9: Africa, Arab, Asia and the Pacific, Latin America and the Caribbean Countries, Least Developed Countries Program 10: Cooperation with Certain Countries in Europe and Asia Program 17: Building Respect for IP Program 21: Executive Management

15. Norm-setting activities shall:

• be inclusive and member-driven; • take into account different levels of

development; • take into consideration a balance

between costs and benefits; • be a participatory process, which takes

into consideration the interests and priorities of all WIPO Member States and the viewpoints of other stakeholders, including accredited inter-governmental organizations (IGOs) and NGOs; and

• be in line with the principle of neutrality of the WIPO Secretariat.

Program 1: Patent Law Program 2: Trademarks, Industrial Designs and Geographical Indications Program 3: Copyright and Related Rights Program 4: Traditional Knowledge, Traditional Cultural Expressions and Genetic Resources Program 8: Development Agenda Coordination Program 21: Executive Management

16. Consider the preservation of the public domain within WIPO’s normative processes and deepen the analysis of the implications and benefits of a rich and accessible public domain.

Program 1: Patent Law Program 2: Trademarks, Industrial Designs and Geographical Indications Program 3: Copyright and Related Rights Program 4: Traditional Knowledge, Traditional Cultural Expressions and Genetic Resources Program 8: Development Agenda Coordination Program 14: Services for Access to Information and Knowledge Program 21: Executive Management

17. In its activities, including norm-setting, WIPO should take into account the flexibilities in international intellectual property agreements, especially those which are of interest to developing countries and LDCs.

Program 1: Patent Law Program 2: Trademarks, Industrial Designs and Geographical Indications Program 3: Copyright and Related Rights Program 8: Development Agenda Coordination Program 9: Africa, Arab, Asia and the Pacific, Latin America and the Caribbean Countries, Least Developed Countries Program 10: Cooperation with Certain Countries in Europe and Asia Program 21: Executive Management

18. To urge the IGC to accelerate the process on the protection of genetic resources, traditional knowledge and folklore, without prejudice to any outcome, including the possible development of an international instrument or instruments.

Program 4: Traditional Knowledge, Traditional Cultural Expressions and Genetic Resources Program 8: Development Agenda Coordination Program 21: Executive Management

218

Annexes


19. To initiate discussions on how, within WIPO’s mandate, to further facilitate access to knowledge and technology for developing countries and LDCs to foster creativity and innovation and to strengthen such existing activities within WIPO.

Program 3: Copyright and Related Rights Program 8: Development Agenda Coordination Program 9: Africa, Arab, Asia and the Pacific, Latin America and the Caribbean Countries, Least Developed Countries Program 14: Services for Access to Information and Knowledge Program 15: Business Solutions for IP Offices Program 18: IP and Global Challenges Program 21: Executive Management Program 30: Small and Medium-Sized Enterprises and Innovation

20. To promote norm-setting activities related to IP that support a robust public domain in WIPO’s Member States, including the possibility of preparing guidelines which could assist interested Member States in identifying subject matters that have fallen into the public domain within their respective jurisdictions.

Program 1: Patent Law Program 2: Trademarks, Industrial Designs and Geographical Indications Program 3: Copyright and Related Rights Program 4: Traditional Knowledge, Traditional Cultural Expressions and Genetic Resources Program 8: Development Agenda Coordination Program 14: Services for Access to Information and Knowledge Program 21: Executive Management

21. WIPO shall conduct informal, open and balanced consultations, as appropriate, prior to any new norm-setting activities, through a member-driven process, promoting the participation of experts from Member States, particularly developing countries and LDCs.

Program 1: Patent Law Program 2: Trademarks, Industrial Designs and Geographical Indications Program 3: Copyright and Related Rights Program 4: Traditional Knowledge, Traditional Cultural Expressions and Genetic Resources Program 8: Development Agenda Coordination Program 21: Executive Management

22. WIPO’s norm-setting activities should be supportive of the development goals agreed within the United Nations system, including those contained in the Millennium Declaration. The WIPO Secretariat, without prejudice to the outcome of Member States considerations, should address in its working documents for norm-setting activities, as appropriate and as directed by Member States, issues such as: (a) safeguarding national implementation of intellectual property rules (b) links between intellectual property and competition (c) intellectual property -related transfer of technology (d) potential flexibilities, exceptions and limitations for Member States and (e) the possibility of additional special provisions for developing countries and LDCs.

Program 1: Patent Law Program 2: Trademarks, Industrial Designs and Geographical Indications Program 3: Copyright and Related Rights Program 8: Development Agenda Coordination Program 21: Executive Management

23. To consider how to better promote pro-competitive intellectual property licensing practices, particularly with a view to fostering creativity, innovation and the transfer and dissemination of technology to interested countries, in particular developing countries and LDCs.

Program 3: Copyright and Related Rights Program 8: Development Agenda Coordination Program 9: Africa, Arab, Asia and the Pacific, Latin America and the Caribbean Countries, Least Developed Countries Program 18: IP and Global Challenges Program 21: Executive Management

219



24. To request WIPO, within its mandate, to expand the scope of its activities aimed at bridging the digital divide, in accordance with the outcomes of the World Summit on the Information Society (WSIS) also taking into account the significance of the Digital Solidarity Fund (DSF).

Program 3: Copyright and Related Rights Program 8: Development Agenda Coordination Program 13: Global Databases Program 15: Business Solutions for IP Offices Program 21: Executive Management

25. To explore intellectual property -related policies and initiatives necessary to promote the transfer and dissemination of technology, to the benefit of developing countries and to take appropriate measures to enable developing countries to fully understand and benefit from different provisions, pertaining to flexibilities provided for in international agreements, as appropriate.

Program 8: Development Agenda Coordination Program 9: Africa, Arab, Asia and the Pacific, Latin America and the Caribbean Countries, Least Developed Countries Program 18: IP and Global Challenges Program 21: Executive Management Program 30: Small and Medium-Sized Enterprises and Innovation

26. To encourage Member States, especially developed countries, to urge their research and scientific institutions to enhance cooperation and exchange with research and development institutions in developing countries, especially LDCs.

Program 8: Development Agenda Coordination Program 21: Executive Management Program 30: Small and Medium-Sized Enterprises and Innovation

27. Facilitating intellectual property -related aspects of ICT for growth and development: Provide for, in an appropriate WIPO body, discussions focused on the importance of intellectual property -related aspects of ICT, and its role in economic and cultural development, with specific attention focused on assisting Member States to identify practical intellectual property -related strategies to use ICT for economic, social and cultural development.

Program 3: Copyright and Related Rights Program 8: Development Agenda Coordination Program 15: Business Solutions for IP Offices Program 21: Executive Management

28. To explore supportive intellectual property -related policies and measures Member States, especially developed countries, could adopt for promoting transfer and dissemination of technology to developing countries.


29. To include discussions on intellectual property -related technology transfer issues within the mandate of an appropriate WIPO body.

Program 8: Development Agenda Coordination Program 21: Executive Management

30. WIPO should cooperate with other IGOs to provide to developing countries, including LDCs, upon request, advice on how to gain access to and make use of intellectual property-related information on technology, particularly in areas of special interest to the requesting parties.

Program 8: Development Agenda Coordination Program 9: Africa, Arab, Asia and the Pacific, Latin America and the Caribbean Countries, Least Developed Countries Program 12: International Classifications and Standards Program 14: Services for Access to Information and Knowledge Program 18: IP and Global Challenges Program 20. External Relations, Partnerships and External Offices Program 21: Executive Management

220

Annexes


31. To undertake initiatives agreed by Member States, which contribute to transfer of technology to developing countries, such as requesting WIPO to facilitate better access to publicly available patent information.

Program 8: Development Agenda Coordination Program 9: Africa, Arab, Asia and the Pacific, Latin America and the Caribbean Countries, Least Developed Countries Program 12: International Classifications and Standards Program 13: Global Databases Program 14: Services for Access to Information and Knowledge Program 21: Executive Management

32. To have within WIPO opportunity for exchange of national and regional experiences and information on the links between IPRs and competition policies.

Program 8: Development Agenda Coordination Program 18: IP and Global Challenges Program 21: Executive Management

33. To request WIPO to develop an effective yearly review and evaluation mechanism for the assessment of all its development-oriented activities, including those related to technical assistance, establishing for that purpose specific indicators and benchmarks, where appropriate.

Program 8: Development Agenda Coordination Program 9: Africa, Arab, Asia and the Pacific, Latin America and the Caribbean Countries, Least Developed Countries Program 10: Cooperation with Certain Countries in Europe and Asia Program 11: The WIPO Academy Program 21: Executive Management Program 22: Program and Resource Management

34. With a view to assisting Member States in creating substantial national programs, to request WIPO to conduct a study on constraints to intellectual property protection in the informal economy, including the tangible costs and benefits of intellectual property protection in particular in relation to generation of employment.

Program 8: Development Agenda Coordination Program 16: Economics and Statistics Program 21: Executive Management

35. To request WIPO to undertake, upon request of Member States, new studies to assess the economic, social and cultural impact of the use of intellectual property systems in these States.


36. To exchange experiences on open collaborative projects such as the Human Genome Project as well as on intellectual property models.


37. Upon request and as directed by Member States, WIPO may conduct studies on the protection of intellectual property, to identify the possible links and impacts between intellectual property and development.


38. To strengthen WIPO’s capacity to perform objective assessments of the impact of the organization’s activities on development.


221



39. To request WIPO, within its core competence and mission, to assist developing countries, especially African countries, in cooperation with relevant international organizations, by conducting studies on brain drain and make recommendations accordingly.

Program 8: Development Agenda Coordination Program 9: Africa, Arab, Asia and the Pacific, Latin America and the Caribbean Countries, Least Developed Countries Program 16: Economics and Statistics Program 21: Executive Management

40. To request WIPO to intensify its cooperation on IP related issues with United Nations agencies, according to Member States’ orientation, in particular UNCTAD, UNEP, WHO, UNIDO, UNESCO and other relevant international organizations, especially the WTO in order to strengthen the coordination for maximum efficiency in undertaking development programs.

Program 8: Development Agenda Coordination Program 9: Africa, Arab, Asia and the Pacific, Latin America and the Caribbean Countries, Least Developed Countries Program 10: Cooperation with Certain Countries in Europe and Asia Program 18: IP and Global Challenges Program 20. External Relations, Partnerships and External Offices Program 21: Executive Management

41. To conduct a review of current WIPO technical assistance activities in the area of cooperation and development.


42. To enhance measures that ensure wide participation of civil society at large in WIPO activities in accordance with its criteria regarding NGO acceptance and accreditation, keeping the issue under review.

Program 4: Traditional Knowledge, Traditional Cultural Expressions and Genetic Resources Program 8: Development Agenda Coordination Program 9: Africa, Arab, Asia and the Pacific, Latin America and the Caribbean Countries, Least Developed Countries Program 10: Cooperation with Certain Countries in Europe and Asia Program 18: IP and Global Challenges Program 20. External Relations, Partnerships and External Offices Program 21: Executive Management

43. To consider how to improve WIPO’s role in finding partners to fund and execute projects for intellectual property -related assistance in a transparent and member-driven process and without prejudice to ongoing WIPO activities.

Program 8: Development Agenda Coordination Program 9: Africa, Arab, Asia and the Pacific, Latin America and the Caribbean Countries, Least Developed Countries Program 10: Cooperation with Certain Countries in Europe and Asia Program 21: Executive Management

44. In accordance with WIPO’s member-driven nature as a United Nations Specialized Agency, formal and informal meetings or consultations relating to norm-setting activities in WIPO, organized by the Secretariat, upon request of the Member States, should be held primarily in Geneva, in a manner open and transparent to all Members. Where such meetings are to take place outside of Geneva, Member States shall be informed through official channels, well in advance, and consulted on the draft agenda and program.

Program 8: Development Agenda Coordination Program 21: Executive Management

222

Annexes


45. To approach intellectual property enforcement in the context of broader societal interests and especially development-oriented concerns, with a view that “the protection and enforcement of intellectual property rights should contribute to the promotion of technological innovation and to the transfer and dissemination of technology, to the mutual advantage of producers and users of technological knowledge and in a manner conducive to social and economic welfare, and to a balance of rights and obligations”, in accordance with Article 7 of the TRIPS Agreement.

Program 8: Development Agenda Coordination Program 17: Building Respect for IP Program 21: Executive Management

223


V. APPENDICES Appendix A Member States’ Contributions Appendix B Definition of Budget Headings Appendix C Standard Cost for Personnel Appendix D Flexibility Formulas Appendix E Acronyms and Abbreviations Used in the Present Document

224

Appendices

APPENDIX A MEMBER STATES’ CONTRIBUTIONS (in Swiss francs)

States Members of One or More

Contribution

Contribution Units

Contribution1

Contribution1

Contributions

Contribution-Financed Unions

Class 2012/13 2012 2013 2012/13

Afghanistan2 Ster 0.03125 1,424 1,424 2,848Albania IX 0.25 11,395 11,395 22,790 Algeria IX 0.25 11,395 11,395 22,790Andorra IX 0.25 11,395 11,395 22,790 Angola Ster 0.03125 1,424 1,424 2,848 Antigua and Barbuda Sbis 0.0625 2,849 2,849 5,698 Argentina VIbis 2 91,158 91,158 182,316 Armenia IX 0.25 11,395 11,395 22,790 Australia III 15 683,685 683,685 1,367,370Austria IVbis 7.5 341,842 341,842 683,684 Azerbaijan IX 0.25 11,395 11,395 22,790 Bahamas Sbis 0.0625 2,849 2,849 5,698 Bahrain S 0.125 5,697 5,697 11,394Bangladesh Ster 0.03125 1,424 1,424 2,848 Barbados Sbis 0.0625 2,849 2,849 5,698 Belarus IX 0.25 11,395 11,395 22,790 Belgium III 15 683,685 683,685 1,367,370 Belize Sbis 0.0625 2,849 2,849 5,698 Benin Ster 0.03125 1,424 1,424 2,848 Bhutan Ster 0.03125 1,424 1,424 2,848 Bolivia (Plurinational State of) Sbis 0.0625 2,849 2,849 5,698 Bosnia and Herzegovina Sbis 0.0625 2,849 2,849 5,698 Botswana Sbis 0.0625 2,849 2,849 5,698 Brazil VIbis 2 91,158 91,158 182,316 Brunei Darussalam S 0.125 5,697 5,697 11,394 Bulgaria VIbis 2 91,158 91,158 182,316 Burkina Faso Ster 0.03125 1,424 1,424 2,848 Burundi Ster 0.03125 1,424 1,424 2,848 Cambodia Ster 0.03125 1,424 1,424 2,848 Cameroon Sbis 0.0625 2,849 2,849 5,698 Canada IV 10 455,790 455,790 911,580 Cape Verde Sbis 0.0625 2,849 2,849 5,698Central African Republic Ster 0.03125 1,424 1,424 2,848 Chad Ster 0.03125 1,424 1,424 2,848 Chile IX 0.25 11,395 11,395 22,790 China IVbis 7.5 341,842 341,842 683,684 Colombia IX 0.25 11,395 11,395 22,790 Comoros Ster 0.03125 1,424 1,424 2,848Congo Sbis 0.0625 2,849 2,849 5,698 Costa Rica S 0.125 5,697 5,697 11,394 Côte d'Ivoire Sbis 0.0625 2,849 2,849 5,698 Croatia VIII 0.5 22,789 22,789 45,578 Cuba S 0.125 5,697 5,697 11,394 Cyprus S 0.125 5,697 5,697 11,394 Czech Republic VI 3 136,737 136,737 273,474 Democratic People's Republic of Korea

Sbis 0.0625 2,849 2,849 5,698

Democratic Republic of the Congo

Ster 0.03125 1,424 1,424 2,848

Denmark IV 10 455,790 455,790 911,580 Djibouti Ster 0.03125 1,424 1,424 2,848 Dominica Sbis 0.0625 2,849 2,849 5,698

225



Contribution

Contribution Units

Contribution1

Contribution1

Contributions


Class 2012/13 2012 2013 2012/13

Dominican Republic S 0.125 5,697 5,697 11,394 Ecuador S 0.125 5,697 5,697 11,394 Egypt S 0.125 5,697 5,697 11,394 El Salvador Sbis 0.0625 2,849 2,849 5,698Equatorial Guinea Ster 0.03125 1,424 1,424 2,848 Eritrea 2 Ster 0.03125 1,424 1,424 2,848 Estonia IX 0.25 11,395 11,395 22,790 Ethiopia 2 Ster 0.03125 1,424 1,424 2,848 Fiji Sbis 0.0625 2,849 2,849 5,698 Finland IV 10 455,790 455,790 911,580 France I 25 1,139,475 1,139,475 2,278,950 Gabon Sbis 0.0625 2,849 2,849 5,698 Gambia Ster 0.03125 1,424 1,424 2,848 Georgia IX 0.25 11,395 11,395 22,790 Germany I 25 1,139,475 1,139,475 2,278,950 Ghana Sbis 0.0625 2,849 2,849 5,698 Greece VI 3 136,737 136,737 273,474 Grenada Sbis 0.0625 2,849 2,849 5,698 Guatemala S 0.125 5,697 5,697 11,394 Guinea Ster 0.03125 1,424 1,424 2,848 Guinea-Bissau Ster 0.03125 1,424 1,424 2,848 Guyana Sbis 0.0625 2,849 2,849 5,698 Haiti Ster 0.03125 1,424 1,424 2,848 Holy See IX 0.25 11,395 11,395 22,790Honduras Sbis 0.0625 2,849 2,849 5,698 Hungary VI 3 136,737 136,737 273,474 Iceland VIII 0.5 22,789 22,789 45,578 India VIbis 2 91,158 91,158 182,316 Indonesia VII 1 45,579 45,579 91,158 Iran (Islamic Republic of) VII 1 45,579 45,579 91,158 Iraq S 0.125 5,697 5,697 11,394Ireland IV 10 455,790 455,790 911,580 Israel VIbis 2 91,158 91,158 182,316 Italy III 15 683,685 683,685 1,367,370 Jamaica Sbis 0.0625 2,849 2,849 5,698 Japan I 25 1,139,475 1,139,475 2,278,950 Jordan Sbis 0.0625 2,849 2,849 5,698 Kazakhstan IX 0.25 11,395 11,395 22,790 Kenya Sbis 0.0625 2,849 2,849 5,698 Kuwait 2 IX 0.25 11,395 11,395 22,790 Kyrgyzstan IX 0.25 11,395 11,395 22,790 Lao People's Democratic Republic

Ster 0.03125 1,424 1,424 2,848

Latvia IX 0.25 11,395 11,395 22,790 Lebanon S 0.125 5,697 5,697 11,394Lesotho Ster 0.03125 1,424 1,424 2,848 Liberia Ster 0.03125 1,424 1,424 2,848 Libyan Arab Jamahiriya IX 0.25 11,395 11,395 22,790Liechtenstein VIII 0.5 22,789 22,789 45,578 Lithuania IX 0.25 11,395 11,395 22,790 Luxembourg VII 1 45,579 45,579 91,158 Madagascar Ster 0.03125 1,424 1,424 2,848 Malawi Ster 0.03125 1,424 1,424 2,848 Malaysia VIII 0.5 22,789 22,789 45,578 Maldives 2 Ster 0.03125 1,424 1,424 2,848Mali Ster 0.03125 1,424 1,424 2,848 Malta Sbis 0.0625 2,849 2,849 5,698

226

Appendices


Contribution

Contribution Units

Contribution1

Contribution1

Contributions


Class 2012/13 2012 2013 2012/13

Mauritania Ster 0.03125 1,424 1,424 2,848 Mauritius Sbis 0.0625 2,849 2,849 5,698 Mexico IVbis 7.5 341,842 341,842 683,684 Micronesia (Federates States of)

Sbis 0.0625 2,849 2,849 5,698

Monaco VII 1 45,579 45,579 91,158 Mongolia Sbis 0.0625 2,849 2,849 5,698 Montenegro IX 0.25 11,395 11,395 22,790Morocco S 0.125 5,697 5,697 11,394 Mozambique Ster 0.03125 1,424 1,424 2,848 Myanmar 2 Ster 0.03125 1,424 1,424 2,848 Namibia Sbis 0.0625 2,849 2,849 5,698 Nepal Ster 0.03125 1,424 1,424 2,848 Netherlands III 15 683,685 683,685 1,367,370 New Zealand VI 3 136,737 136,737 273,474 Nicaragua Sbis 0.0625 2,849 2,849 5,698 Niger Ster 0.03125 1,424 1,424 2,848 Nigeria S 0.125 5,697 5,697 11,394 Norway IV 10 455,790 455,790 911,580 Oman S 0.125 5,697 5,697 11,394 Pakistan S 0.125 5,697 5,697 11,394 Panama S 0.125 5,697 5,697 11,394 Papua New Guinea Sbis 0.0625 2,849 2,849 5,698 Paraguay Sbis 0.0625 2,849 2,849 5,698 Peru S 0.125 5,697 5,697 11,394 Philippines S 0.125 5,697 5,697 11,394 Poland VI 3 136,737 136,737 273,474 Portugal IVbis 7.5 341,842 341,842 683,684 Qatar IX 0.25 11,395 11,395 22,790Republic of Korea V 5 227,895 227,895 455,790 Republic of Moldova IX 0.25 11,395 11,395 22,790Romania VIbis 2 91,158 91,158 182,316 Russian Federation IV 10 455,790 455,790 911,580 Rwanda Ster 0.03125 1,424 1,424 2,848 Saint Kitts and Nevis Sbis 0.0625 2,849 2,849 5,698 Saint Lucia Sbis 0.0625 2,849 2,849 5,698Saint Vincent and the Grenadines

Sbis 0.0625 2,849 2,849 5,698

Samoa Ster 0.03125 1,424 1,424 2,848 San Marino IX 0.25 11,395 11,395 22,790 Sao Tome and Principe Ster 0.03125 1,424 1,424 2,848 Saudi Arabia VII 1 45,579 45,579 91,158 Senegal STER 0.03125 1,424 1,424 2,848 Serbia VIII 0.5 22,789 22,789 45,578Seychelles Sbis 0.0625 2,849 2,849 5,698 Sierra Leone Ster 0.03125 1,424 1,424 2,848 Singapore IX 0.25 11,395 11,395 22,790 Slovakia VI 3 136,737 136,737 273,474 Slovenia VII 1 45,579 45,579 91,158 Somalia 2 Ster 0.03125 1,424 1,424 2,848 South Africa IVbis 7.5 341,842 341,842 683,684 Spain IV 10 455,790 455,790 911,580 Sri Lanka Sbis 0.0625 2,849 2,849 5,698 Sudan Ster 0.03125 1,424 1,424 2,848 Suriname Sbis 0.0625 2,849 2,849 5,698 Swaziland Sbis 0.0625 2,849 2,849 5,698 Sweden III 15 683,685 683,685 1,367,370 Switzerland III 15 683,685 683,685 1,367,370

227



Contribution

Contribution Units

Contribution1

Contribution1

Contributions


Class 2012/13 2012 2013 2012/13

Syrian Arab Republic S 0.125 5,697 5,697 11,394Tajikistan IX 0.25 11,395 11,395 22,790 Thailand IX 0.25 11,395 11,395 22,790 The former Yugoslav Republic of Macedonia

VIII 0.5 22,789 22,789 45,578

Togo Ster 0.03125 1,424 1,424 2,848 Tonga Sbis 0.0625 2,849 2,849 5,698 Trinidad and Tobago S 0.125 5,697 5,697 11,394Tunisia S 0.125 5,697 5,697 11,394 Turkey VIbis 2 91,158 91,158 182,316 Turkmenistan IX 0.25 11,395 11,395 22,790 Uganda Ster 0.03125 1,424 1,424 2,848 Ukraine IX 0.25 11,395 11,395 22,790 United Arab Emirates IX 0.25 11,395 11,395 22,790 United Kingdom I 25 1,139,475 1,139,475 2,278,950 United Republic of Tanzania Ster 0.03125 1,424 1,424 2,848 United States of America I 25 1,139,475 1,139,475 2,278,950 Uruguay S 0.125 5,697 5,697 11,394 Uzbekistan IX 0.25 11,395 11,395 22,790 Venezuela (Bolivarian Republic of)

IX 0.25 11,395 11,395 22,790

Viet Nam S 0.125 5,697 5,697 11,394 Yemen Ster 0.03125 1,424 1,424 2,848 Zambia Ster 0.03125 1,424 1,424 2,848 Zimbabwe Sbis 0.0625 2,849 2,849 5,698 Total Contributions 17,433,958 17,433,958 34,867,916

1 The value of one unit for the years 2012 and 2013 is 45,579 Swiss francs. 2 States members of WIPO which are not members of any of the Unions.

228

Appendices

APPENDIX B DEFINITION OF BUDGET HEADINGS SOURCES OF INCOME

Contributions: Contributions of Member States to the Organization under the unitary contribution system.

Fees: Fees for the International Bureau under the PCT, Madrid, Hague and Lisbon Systems.

Interest: Revenues from interest on capital deposits.

Publications: Revenues from the sale of publications and from subscriptions to periodicals published by the Secretariat, in paper, CD-ROM or any other format.

Other income: fees for the arbitration of domain names, registration fees for conferences and training courses, support charges in respect of extra-budgetary activities executed by WIPO and financed by UNDP and trust funds, accounting adjustments (credits) in respect of prior years and currency adjustments (credits), rental of WIPO premises, UPOV’s payments to WIPO for administrative support services.

OBJECTS OF EXPENDITURE PERSONNEL RESOURCES

Posts: remuneration received by staff members, in particular salaries, post adjustment, dependency allowances, language allowances and overtime, non-resident allowances, assignment grant and representation allowances. Short-term Professional: remuneration and allowances paid to professional employees on short-term contracts.

Short-term General Service: remuneration and allowances paid to general service employees on short-term contracts. Internships: remuneration and allowances paid to headquarters-based interns.

NON-PERSONNEL RESOURCES Travel and Fellowships

Staff missions: travel expenses and daily subsistence allowances for the staff and short-term employees of the Secretariat on official travel.

Third party travel: travel expenses and daily subsistence allowances for Government officials, participants and lecturers attending WIPO sponsored meetings.

Fellowships: travel expenses, daily subsistence allowances and training and other fees in connection with trainees attending courses, seminars, fellowships.

Contractual Services

Conferences: remuneration, travel expenses and daily subsistence allowances for interpreters; renting of conference facilities, and interpretation equipment; refreshments and receptions; and the cost of any other service directly linked to the organization of a conference.

229


Experts’ Honoraria: remuneration, travel expenses and daily subsistence allowances for experts, and honoraria paid to lecturers.

Publishing: outside printing and binding; reviews; paper and printing; other printing: reprints of articles published in reviews; brochures; treaties; collections of texts; manuals; working forms and other miscellaneous printed material; production of CD-ROMs, videos, magnetic tapes and other forms of electronic publishing.

Special Service Agreements and Commercial Service Providers: remuneration paid to holders of special service agreements (SSAs) and to commercial service providers.

Operating Expenses

Premises and maintenance: acquiring, renting, improving and maintaining office space and renting or maintaining equipment and furniture, loan reimbursement for new construction, external management consultants related to new construction.

Communication: communication expenses such as telephone, internet, facsimile and mail, postage and carriage of documents. Mobile telecommunication, long distance calls on landlines, internet and facsimile costs are centralized and will be reflected under ICT's budget. Please ensure that you liaise with the ICT for changes in such communication costs.

Representation: official hospitality expenses, excluding reception for conferences / events.

Administrative and bank charges: bank charges; currency adjustments; loan interest and audit expenses.

UN Joint Services: medical assistance, contributions to joint administrative activities within the UN system, Administrative Tribunal.

Equipment and Supplies

Furniture and equipment: purchase of office furniture, office machines, computer equipment (desktop, laptops, printers, servers, etc), conference servicing equipment, reproduction equipment and transportation equipment.

Supplies and materials: stationery and office supplies; internal reproduction supplies (offset, microfilms, etc.); library books and subscriptions to reviews and periodicals; uniforms; computer supplies, software and licenses.

230

Appendices

APPENDIX C STANDARD COST FOR PERSONNEL The methodology used to estimate and budget for the personnel resources of the Organization is based on standard costs. Standard costs remain the most commonly used method of costing personnel resources within the UN system. This provides a basis for comparison with other UN organizations, thus ensuring that revisions and updates to these can be done routinely and regularly.

The formulation and review of standard costs is a dynamic process requiring regular review, with the aim of aligning budgeted costs with expenditure. Standard costs are built on the latest available UN salary and pensionable remuneration scales, historical data, applicable policies and applicable entitlements. The standard costs applied for WIPO’s Program and budget incorporate numerous cost elements from one standard cost for each post grade, which is then used to provide an overall costing for personnel resources. The cost elements included in the standard cost and the underlying assumptions are summarized below.

Standard Cost Elements and Underlying Assumptions

Professional General Services Short-term Staff

Salary Apply the latest base salary at the Dependent Rate at a given step per year for all grades converted to Swiss francs, and then apply post adjustment multiplier. Add pensionable remuneration.

Apply the latest base salary at a given grade and step per year. Add pensionable remuneration.

Apply the latest base salary at a given grade and step per year in the case of General Service Staff and the latest rates provided for temporary translators.

Common Staff Costs (CSC)

For the CSCs, apply a multiplier which reflects • entitlements and benefits

in accordance with the Staff Regulations

• historic pattern of expenditure







Adjustment Factor

After having applied the above formula, the standard cost is adjusted (deduction applied) to account for • vacancy factor – based on

historical statistical data and expected occupancy rate.

In the case of Professional grades this adjustment factor is 8% (7% vacancy, plus 1% for part timers).

After having applied the above formula, the standard cost is adjusted (deduction applied) to account for • vacancy factor – based

on historical statistical data and expected occupancy rate.

In the case of General Service grades this adjustment factor is 8%.

After having applied the above formula, the standard cost is adjusted (deduction applied) to account for contract breaks for employees on Short-term contracts. In the case of short-term employees and translators this adjustment factor is 3%.

Separation Reserve and After Service Health Insurance Cost (ASHI)

Apply 2% to the total remuneration.

Apply 2% to the total remuneration.

231


APPENDIX D FLEXIBILITY FORMULAS GENERAL The flexibility formulas are the mechanism which enables the levels of financial resources allocated to the global protection systems (PCT, Madrid, Hague) to be varied to reflect unbudgeted variations in the total volume of registration activities. The flexibility formulas for the PCT, Madrid and Hague systems were revised and approved by their respective Assemblies, which convened from September 24 to October 3, 2007. PCT SYSTEM The revised flexibility formula for the PCT system is described in document PCT/A/36/5, and it was approved by the PCT Assembly as indicated in document PCT/A/36/13. As noted in these documents, the flexibility formula for PCT was revised to reflect a budget variation of 341,870 Swiss francs per 1,000 unbudgeted PCT international applications. The revised formula no longer linked the variations in the number of applications to variations in the number of staff posts as it was done before. Rather, the formula proposed to vary the total resources allocated to programs involved, allowing to use both personnel resources (such as posts, short-term employees, SSAs, etc.) and non-personnel resources (such as outsourcing contracts). The adjustments are allocated to the administration of the PCT system and support services at a 87.5:12.5 ratio. MADRID SYSTEM The revised flexibility formula for the Madrid system is described in document MM/A/38/5, and it was approved by the Madrid Assembly as reflected in document MM/A/38/6. The new formula allows for adjustments in the Madrid Union budget by 197,060 Swiss francs for each variation of 500 registrations and/or renewals recorded as compared to the approved initial estimates. The formula no longer links the adjustments to staff posts only, but rather allows for adjustments in overall financial resources allocated to the programs directly involved in the processing of the resulting workload. These resources may be of personnel (posts, short-term employees, etc.) and non-personnel nature (e.g., outsourcing contracts). The adjustments are allocated to the administration of the International Trademark Registry and support services at a 87.5:12.5 ratio. HAGUE SYSTEM The revised flexibility formula for the Hague system is described in document H/A/24/3, and it was approved by the Hague Assembly as reflected in document H/A/24/4. The new formula provides for adjustments of the Hague Union budget by an amount of 99,024 Swiss francs for each variation of 300 registrations and/or renewals recorded in the Hague Union Registry as compared to the approved initial estimates. The resources may be of personnel and non-personnel nature, and they are allocated to the administration of the Hague Union Registry and support services at a 87.5:12.5 ratio.

232

Appendices

APPENDIX E ACRONYMS AND ABBREVIATIONS USED IN THE PRESENT DOCUMENT ACE Advisory Committee on Enforcement ADR Alternative Dispute Resolution AGICOA Association of International Collective Management of Audiovisual Works aRDi Access to Research for Development and Innovation ASEAN Association of South East Asian Nations ASHI After Service Health Insurance ASPI Access to Specialized Patent Information

CASE Centralized Access to Search and Examination Results ccTLDs country code Top-Level Domain CDIP Conference on Development and Intellectual Property CIS Commonwealth of Independent States CLIR Cross Lingual Information Retrieval CMG Crisis Management Group CMOs collective management organizations

DA Development Agenda DAS Digital Access Service for Priority Documents DNS Domain Name System

ECDL (test) European Computer Driving Licence (global computer literacy certification) ECLA patent classification assigned by the European Patent office ECM Enterprise Content management EDMS Electronic Document Management System EGEDA Entidad de Gestión de Derechos de los Productores Audiovisuales EPO European Patent Office ERP enterprise resource planning EU European Union

FAO Food and Agricultural Organization FI patent classification assigned by the Japanese Patent office FIT Fund-in-Trust

GR genetic resources gTLDs generic Top-Level Domains

HLS High Level Segment (of the Assemblies) HR Human Resources HRMD Human Resources Management Department

IAOC Independent Advisory and Oversight Committee IAOD Internal Audit and Oversight Division ICANN Internet Corporation for Assigned Names and Numbers ICE International Cooperation on Examination ICSEI International Cooperation for the Search and Examination of Inventions

233


ICPIP Inter-State Council on the Protection of Industrial Property ICSC International Civil Service Commission ICT Information and Communication Technology IGC Intergovernmental Committee on Intellectual Property and Genetic Resources,

Traditional Knowledge and Folklore IGOs inter-governmental organizations IIA Institute of Internal Auditors IMR International Music Registry IP Intellectual Property IPAS IP Office Automation software IPACIS Assembly of the CIS Member States IPC International Patent Classification IPO Intellectual Property Office IPRs Intellectual Property Rights IPSAS International Public Sector Accounting Standards IT Information Technology ITIL Information Technology Infrastructure Library ITU International Telecommunications Union

LDCs Least Developed Countries

MDGs Millenium Development Goals MTSP Medium Term Strategic Plan

NGOs non-governmental organizations

OAPI l’Organisation Africaine de la Propriété Intellectuelle (African Intellectual Property Organization)

OHIM Office for Harmonization in the Internal Market (Community Trademarks) PCD Procurement Services Division PCT Patent Cooperation Treaty PLR Patent Landscape Reports PLT Patent Law Treaty PMSDS Performance Management and Staff Development System PPR Program Performance Report

RBM Results-based Management R&D research and development RFPs Requests for Proposals RO Receiving Office

SCCR Standing Committee on Copyright and Related Rights SCP Standing Committee on the Law of Patents SCT Standing Committee on the Law of Trademarks, Industrial Designs and

Geographical Indications SLC Special Labor Contract SMEs small and medium size enterprises SSA Special Service Agreements SRP Strategic Realignment Program

234

Appendices

TA Travel Authorization TCEs Traditional Cultural Expressions/Folklore TIGAR Trusted Intermediary Global Accessible Resources TISCs Technology Innovation Support Centers TK Traditional Knowledge TTO Technology Transfer Office

UDRP Uniform Domain Name Dispute Resolution Policy UN United Nations UNCTAD United Nations Conference on Trade and Development UN CEB United Nations Chief Executives Board UN-DESA United Nations Department of Social and Economic Affaires UNEP United Nations Environmental Programme UNESCO United Nations Educational, Scientific and Cultural Organization UNFCCC Framework Convention on Climate Change UN-H-MOSS UN Headquarters Minimum Operating Security Standards UNICC UN International Computing Centre UNIDO United Nations Industrial Development Organization UNSAS United Nations System Accounting Standards UPOV International Union for the Protection of New Varieties of Plants USCLA US Classifications USPTO United States Patent and Trademark Office

VIP Visually Impaired Persons and other persons with print disabilities

WCO World Customs Organization WCT WIPO Copyright Treaty WHO World Health Organization WIPOCOS software for collective management of copyright and neighboring rights WPPT WIPO Performances and Phonograms Treaty WTO World Trade Organization

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WIPO Publication No. 360E/PB1213 ISBN 978-92-805-2129-0

For more information contact WIPO at www.wipo.int

World Intellectual Property Organization34, chemin des ColombettesP.O. Box 18CH-1211 Geneva 20Switzerland

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